About this role:
Wells Fargo is seeking a Senior Supervisory Control Specialist to join our team within Branch Infrastructure and Operations group as part of Wealth & Investment Management. Learn more about the career areas and lines of business at www.wellsfargojobs.com
In this role, you will:
Required Qualifications:
Desired Qualifications:
Job Expectations:
Job Locations:
Wells Fargo is seeking a Senior Supervisory Control Specialist to join our team within Branch Infrastructure and Operations group as part of Wealth & Investment Management. Learn more about the career areas and lines of business at www.wellsfargojobs.com
In this role, you will:
- Lead or participate in risk management, including supervisory risk and human capital risk within the private client group
- Contribute to identify risks in the region and implement controls to mitigate risks
- Review and identify risks in the region, ensure that risks are appropriately addressed and promote an effective control environment in markets, complexes, and branches
- Lead or participate in complex initiatives to implement controls and mitigate risks
- Serve as an escalation point for risk, supervisory, and human capital matters
- Collaborate with supervision, legal, compliance, human resources, credit, risk, branch, and hub leadership to identify risks in the region
- Implement controls to mitigate risks while leveraging solid understanding of the firm's policies and procedures
- Collaborate and consult with director of private client group, business risk management and the Regional President to identify region risks
- Partner with supervision, legal, compliance, human resources, credit, risk, market, complex, branch, and hub leadership
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 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
Desired Qualifications:
- Conflict management and decision-making skills
- Strong negotiation skills
- Intermediate Microsoft Office (Word, Excel, and Outlook) skills
- Excellent verbal, written, and interpersonal communication skills
- Ability to interact with all levels of branch associates and business units
- Strong attention to detail and accuracy skills
- Strong time management skills
- Strong research and documentation skills
- Ability to work independently while balancing the needs of multiple projects
- Ability to gather, organize, and interpret data
- State Insurance Licensing
Job Expectations:
- US Only: State Insurance License must be completed within a 90-180 day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance
- 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
- This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
- This position is not eligible for Visa sponsorship.
Job Locations:
- 550 S Tryon St. Charlotte, NC
- 2801 Market St. F & L Bldg. Saint Louis, MO
- 550 S 4th St. Minneapolis, MN
Top Skills
MS Office
Wells Fargo Charlotte, North Carolina, USA Office
355 W Martin Luther King, Jr BLVD, Charlotte, NC, United States, 28202
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