Divisional Governance Manager

at  Wells Fargo

APPLICANTS WITH DISABILITIES

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .

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
• 2+ years of leadership experience
• US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9, 10, and 66 (or 63 and 65) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registratio

Desired Qualifications:

• Strong client service skills
• Effective organizational, multi-tasking, and prioritizing skills
• Strong verbal, written, and interpersonal communication skills
• Ability to provide leadership to a financial services team
• Ability to process complex transactions and perform extensive research to resolve complex customer issue

Wells Fargo is seeking a Divisional Governance Manager to join our Governance group for the Central Division within the Client Relationship Group of Wealth and Investment Management. Learn more about our career areas and lines of business at wellsfargojobs.com .

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
• Responsible for the day-to-day administrative functioning of the branch offices within the Market, including supervisory oversight of the Registered and Unregistered Associates assigned to the Market
• Work in partnership with the Market Leadership Management Team as well as Operations, Risk, Compliance, and Sales Teams to ensure firm and regulatory requirements are met
• Recruit, train and manage direct report personnel as assigned. Ensure the direct reports perform all daily, weekly, monthly, quarterly supervisory reviews and tasks within one or more Markets and any findings are reported for review, escalation, if necessary, and final resolution
• Act as a liaison contact for home office escalations, inquiries, and initiatives
• Serve as a liaison and escalation point for all other support areas
• Explain all policies and procedures to branch employees and ensures adherence to the policies and procedures

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
• 2+ years of leadership experience
• US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9, 10, and 66 (or 63 and 65) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• Strong client service skills
• Effective organizational, multi-tasking, and prioritizing skills
• Strong verbal, written, and interpersonal communication skills
• Ability to provide leadership to a financial services team
• Ability to process complex transactions and perform extensive research to resolve complex customer issues

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
• May be expected to travel up to 25% of the time
• This position is not eligible for Visa sponsorship.
• 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.

Posting location:

• 2501 20th Pl S - Birmingham, Alabama
• 150 3rd Ave S Ste 2100 - Nashville, Tennessee
• 265 Brookview Centre Way Ste 100 - Knoxville, Tennessee
• Preferred locations listed above. Other locations within the Central Division footprint may be considered. Relocation assistance is not available for this position.