FiNet Governance Regional Supervisor

at  Wells Fargo

APPLICANTS WITH DISABILITIES

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

WELLS FARGO RECRUITMENT AND HIRING REQUIREMENTS:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process

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 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registratio

Desired Qualifications:

• Conflict management and decision making skills
• Strong negotiation skills
• Excellent verbal, written, and interpersonal communication skills
• Ability to interact with all levels of branch associates and business units
• Strong organizational, multi-tasking and prioritizing skills
• Strong attention to detail and accuracy skill

Wells Fargo is seeking a FiNet Governance Regional Supervisor to join our Branch Infrastructure and Operations group within Wealth and Investment Management. Learn more about the career areas and lines of business at wellsfargojobs.com .

In this role, you will:

• Lead or participate in risk management, including supervisory risk and human capital risk
• Administer direct supervision of regulated activities for Independent Contractor financial services offices
• 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
• Lead or participate in complex initiatives to implement controls and mitigate risks
• Lead as the primary escalation point for risk, supervisory, and human capital matters
• Collaborate with supervision, legal, compliance, human resources, credit, risk, and branch 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 business risk management to identify region risks
• Partner with supervision, legal, compliance, human resources, credit and risk

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 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• Conflict management and decision making skills
• Strong negotiation skills
• Excellent verbal, written, and interpersonal communication skills
• Ability to interact with all levels of branch associates and business units
• Strong organizational, multi-tasking and prioritizing skills
• Strong attention to detail and accuracy skills

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

Job Posting Locations:

• 2801 Market St, F & L Bldg - St. Louis, Missouri
• 1525 W W T Harris Blvd - Charlotte, North Carolina
• 5201 W Amelia Earhart Dr. - Salt Lake City, Utah
• 8601 N Scottsdale Rd - Scottsdale, Arizona

Preferred location(s) listed above. Relocation assistance is not available for this position. Select Locations are considered for current Wells Fargo employees