Wells Fargo Supervisory Control Manager - Licensed 

Philippines, Caloocan 

853519391

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:

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

Desired Qualifications:

• Minimum of 2-year experience leading teams preferably in brokerage operations
• Strong stakeholder and communication skills
• Experience in transformation and process improvement, strongly preferred
• Active FINRA Series 7 license, required
• Active FINRA Series 24 and/or Series 9/10, preferred

Job Expectations:

• Willing to work US hours
• Willing to work onsite (BGC office)

Wells Fargo Recruitment and Hiring Requirements:

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