Supervisory Control Associate

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:

• 6+ months 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
• Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registratio

Desired Qualifications:

• Ability to navigate multiple computer systems, applications, and utilize search tools to find information
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Excellent verbal, written, and interpersonal communication skills
• Basic Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
• Strong attention to detail and accuracy skills
• Solid conflict management and decision-making skills
• FINRA registration including Series 65 or 66 (or FINRA recognized equivalents)
• FINRA registration including Series 9/10 (or FINRA recognized equivalents

Wells Fargo Advisors (WFA) is seeking a Supervisory Control Associate responsible for direct support of branches and their responsibilities for remote compliance supervision of Private Client Group (PCG) and Wealth Brokerage Services, (WBS) producing Branch Managers, and Financial Advisors. Learn more about the career areas and lines of business at www.wellsfargojobs.com

In this role, you will:

• Provide support to WFA Supervisory Control Specialists as needed
• Provide remote sales supervision and support for the WellsTrade, PCG, WBS, Institutional Retirement and Trust (IRT) channels and support branch offices with on-going monitoring to ensure compliance with internal policies, applicable laws, and regulations
• Work closely with the regional and branch staff on compliance and supervision policies, practices, and resolution of issues
• Conduct certain client account approvals
• Participate or conduct compliance, supervision, control reviews, administration, and technology
• Design risk processes and provide project management support
• Identify issues and provide resolution within Wealth Brokerage Service or Private Client Groups
• Assist with oversight of branch risk management
• Perform basic or tactical ongoing regulatory, compliance and operational reviews as well as other duties related to best practices and opportunities for additional synergies to maximize efficiencies
• Receive direction from management and exercise independent judgment while developing an understanding of sales and other activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies
• Collaborate and consult with financial advisors, branch managers, supervisory principals, and other departments as needed.
• Complete other duties as assigned by the Supervision Manager

Required Qualifications:

• 6+ months 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
• Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• Ability to navigate multiple computer systems, applications, and utilize search tools to find information
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Excellent verbal, written, and interpersonal communication skills
• Basic Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
• Strong attention to detail and accuracy skills
• Solid conflict management and decision-making skills
• FINRA registration including Series 65 or 66 (or FINRA recognized equivalents)
• FINRA registration including Series 9/10 (or FINRA recognized equivalents)

Job Expectations:

• Registration for FINRA Series 9/10 and Series 65 or 66 must be completed within a 90 or 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.
• Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition, state registration, 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 review process at the time of offer acceptance.
• 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, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 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:

• 550 S Tryon St. Charlotte, North Carolina
• 114 N Beaumont St. Saint Louis, Missouri