FiNet Governance Senior Supervisory Control Specialist

About this role:
Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Client Relationship Group (CRG) within Wealth and Investment Management (WIM). This role is responsible for supervisory oversight of practices within the Financial Network (FiNet). You will ensure the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands the complexity, partnership needs and customer service requirements that come with managing this process. You will work with business partners and the field as needed to navigate the firm's solutions to provide the best resolutions for them and their clients, all while mitigating risk. You must act with integrity and a high level of professionalism with all levels of employees and management across the organization and Independent Offices. Additionally, you will partner with areas of Compliance, Legal and the Line of Business, as needed, in addressing concerns and issues as it relates to the FiNet Financial Advisors and associated Brokerage locations. Learn more about the career areas and lines of business at wellsfargojobs.com.
In this role, you will:

• Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations
• Have responsibility to supervise the activities of representatives (e.g., financial advisors) to ensure their compliance with Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) rules and regulations, as well as federal and state laws
• Implement and monitor policies and procedures
• Provide regular reporting to Governance Leadership, Markets and Division to ensure that the activity complies with all regulatory and firm policies
• Make decisions and resolve issues regarding compliance, supervision policies, practices, hiring, disciplinary actions and training
• Monitor sales review activities, coordinate proper staff and coverage and develop and implement training plans within CRG to meet business objectives
• 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

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

Desired Qualifications:

• Experience partnering with business, compliance and operational partners to address concerns, resolve complex issues and provide solutions
• Ability to exercise independent judgment to identify and resolve problems
• Ability to interact with all levels of employees and management across the organization and Independent Offices
• Excellent verbal, written, and interpersonal communication skills
• Negotiating, conflict-management, and decision-making skills
• Ability to take initiative, work independently, identify opportunities, and implement change
• Ability to lead projects/initiatives with high risk and complexity
• Ability to manage multiple and competing priorities
• 4+ years of financial services industry experience
• Experience in branch office supervision, compliance, broker-dealer governance, sales supervision

Job Expectations:

• US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements, 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 licensing review process at the time of offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required
• 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 regulatory questions/disclosures, will be ineligible to work from a location other than their assigned office location
• May be expected to travel up to 35% of the time
• 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 CFR 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:

• 2801 Market St - St. Louis, Missouri
• 1525 W WT Harris Blvd - Charlotte, North Carolina
• 299 S Main St - Salt Lake City, Utah
• 8601 N Scottsdale Rd - Scottsdale, Arizona
• Preferred location(s) listed above. Select locations within the Wells Fargo footprint may be considered for current WF employees.

Pay Range: $87,000.00 - $168,000.00
Actual salary is determined by location, experience and qualifications of the job