Wells Fargo Supervisory Control Manager - FiNet 

United States, Missouri, Saint Louis 

663563994

In this role, you will:

• Manage and develop a team of analysts, principals, reviewers, supervisors and managers

• Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations

• Identify and recommend opportunities for coordinating proper staffing and coverage

• Implement and monitor policies and procedures

• Provide regular reporting to branches, regions and channels to ensure that the activity is in compliance with all regulatory and firm policies

• Make decisions and resolve issues regarding compliance, supervision policies, practices, hiring and training

• Monitor sales review activities, coordinate proper staff and coverage and develop and implement training plans within Wealth Brokerage Services to meet business objectives

• Collaborate and consult with more experienced management

• Meet regularly with risk and business partners as well as serve as a primary business contact on key initiatives with Wealth, Compliance, Risk, regional management and other home office departments

• Manage allocation of people and financial resources for Supervisory Control

• Mentor and guide talent development of direct reports and assist in hiring talent

Required Qualifications:

• 4+ years of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

• US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 66 (or 63 and 65), 9 and 10 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

• 2+ years of leadership experience

Desired Qualifications:

• 2+ years Leadership experience in Brokerage, Wealth and Investment Management, or a combination of both

• Financial services compliance experience

• Supervision experience, preferably within Wells Fargo's Wealth and Investment Management (WIM) line of business

• Strong analytical skills with high attention to detail and accuracy

• Strong client service skills

• Strong verbal, written, and interpersonal communication skills

• Experience facilitating and delivering training or other related facilitation experience such as group meetings or presentations

• Ability to interact with all levels of branch associates and business units; including managers and advisors

• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment

• Knowledge and understanding of operations strategy and policy development

Job Expectations:

• May be expected to travel up to 25 percent of the time

• US Only: Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition, state registration, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA review process at the time of offer acceptance.

• US Only: This role requires a FINRA supervisory license and may require working in the assigned office location for at least one year from the hire date. Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section 14 regulatoryquestions/disclosures,will be ineligible to work from a location other than their assigned office location.

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

This position is not eligible for Visa sponsorship.

Job Locations:

• 550 S Tryon St. Charlotte, NC

• 114 N Beaumont St. Saint Louis, MO

18 Aug 2024

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.