Supervisory Control Specialist - Complex Products & Strategy

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:

• 2+ years of Supervisory Control, Corporate Insurance Risk, 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, 9/10, 63 and 65 (or 66) (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registratio

Desired Qualifications:

• 2+ years of Risk and Compliance experience
• Knowledge and understanding of: Options Trading, Complex Product, Market Link Investments and Alternative Investment
• Strong research and documentation skills
• Knowledge and understanding of retail brokerage and industry trends
• Independent negotiating experience
• Excellent verbal, written, and interpersonal communication skills
• Ability to interact with all levels of an organization
• Conflict management and decision making skills
• Ability to work independently while balancing the needs of multiple projects
• Effective organizational, multi-tasking, and prioritizing skills
• Ability to work in a fast-paced deadline driven environment
• Ability to work independently, make decisions, and instruct others
• FINRA registration including Series 4 (or FINRA recognized equivalents

Wells Fargo is seeking a Supervisory Control Specialist to join our Complex Products and Strategy team within Wealth & Investment Management. The Complex Products and Strategy team serves as part of a dedicated group who conduct enhanced higher risk reviews of Structured Products, Iron Condors, Options and other Complex Products and strategies related to the Wells Fargo Advisors (WFA) product platform. Learn more about the career areas and lines of business at www.wellsfargojobs.com

In this role, you will:

• Participate and consult regarding policies and procedures, controls, tools and training
• Identify opportunities for additional synergies and to maximize efficiencies within the private client group
• Review and analyze controls to manage high risk investment strategies and complex products
• Evaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancements
• Present recommendations for resolving complex analysis in search of current and best practices
• Gather and analyze data, identify trends and present analysis through meaningful statistics
• Develop expertise in firm, compliance and regulatory policies and procedures
• Collaborate and consult with Financial Advisors, Regional and more experienced
• Management, Private Client Group, Branch Managers, Operation Managers, Supervision Managers, and varying Business Units

Required Qualifications:

• 2+ years of Supervisory Control, Corporate Insurance Risk, 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, 9/10, 63 and 65 (or 66) (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• 2+ years of Risk and Compliance experience
• Knowledge and understanding of: Options Trading, Complex Product, Market Link Investments and Alternative Investment
• Strong research and documentation skills
• Knowledge and understanding of retail brokerage and industry trends
• Independent negotiating experience
• Excellent verbal, written, and interpersonal communication skills
• Ability to interact with all levels of an organization
• Conflict management and decision making skills
• Ability to work independently while balancing the needs of multiple projects
• Effective organizational, multi-tasking, and prioritizing skills
• Ability to work in a fast-paced deadline driven environment
• Ability to work independently, make decisions, and instruct others
• FINRA registration including Series 4 (or FINRA recognized equivalents)

Job Expectations:

• Ability to travel 25% of the time
• Registration for FINRA Series 4 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 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.
This position is not eligible for Visa sponsorship.

Job Location:

• 2801 Market St., F & L Bldg. St. Louis, MO 63103
• 550 S Tryon St. Charlotte, NC 28202

Serve as part of a dedicated group conducting enhanced higher risk reviews of Complex Products and Strategies related to the WFA product platform. This position will provide an ongoing review of the quality of FA and Branch Manager suitability analysis and documentation for client accounts. Also serve as a dedicated SME resource for FA, field and regional management. These efforts will provide consistency in the reviews of specific higher risk investment factors and possible preapproval of certain complex products.