FiNet Governance Senior Supervisory Control Specialist

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
• 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 registratio

Desired Qualifications:

• Conflict management and decision making skills
• Ability to negotiate, influence, and collaborate to build successful relationships
• Ability to work independently
• Excellent verbal, written, and interpersonal communication skills
• Strong organizational, multi-tasking and prioritizing skills
• Strong attention to detail and accuracy skills
• FINRA registration including Series 66 (or FINRA recognized equivalents

Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Financial Network (FINET) Governance Team within Wealth and Investment Management.

In this role, you will:

• Lead or participate in risk management, including supervisory risk and human capital risk within the FiNet channel
• Administer direct supervision of regulated activities for Independent Contractor financial services practices
• 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 FiNet practices
• 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, 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 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, and branch

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

Desired Qualifications:

• Conflict management and decision making skills
• Ability to negotiate, influence, and collaborate to build successful relationships
• Ability to work independently
• Excellent verbal, written, and interpersonal communication skills
• Strong organizational, multi-tasking and prioritizing skills
• Strong attention to detail and accuracy skills
• FINRA registration including Series 66 (or FINRA recognized equivalents)

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
• Ability 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.

Job Locations:

• 114 N Beaumont St. - St. Louis, Missouri
• 1525 W W T Harris Blvd - Charlotte, North Carolina