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 .

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:

• 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 and 66 or (63 and 65) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registratio

Desired Qualifications:

• Knowledge and understanding of Alternative Investments products
• Ability to gather, organize, and interpret data
• Strong attention to detail and accuracy skills
• Strong research and documentation skills
• Strong time management skills and ability to prioritize work to meet deadlines
• Conflict management and decision-making skill
• Excellent verbal, written, and interpersonal communication skills
• Intermediate Microsoft Office (Word, Excel, and Outlook) skills
• Ability to work independently while balancing the needs of multiple projects
• Strong negotiation skills
• Ability to interact with all levels of branch associates and business units
• FINRA registration including Series 9/10 (or FINRA recognized equivalents

Wells Fargo is seeking a Supervisory Control Specialist within Supervision, Development and Ad Hoc (SDA) team of WFA Centralized Supervision as part of Wealth & Investment Management. Learn more about the career areas and lines of business at 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 Client Relationship Group
• 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, Divisional and more experienced Management, Branch Managers, Operation and Governance 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 and 66 or (63 and 65) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• Knowledge and understanding of Alternative Investments products
• Ability to gather, organize, and interpret data
• Strong attention to detail and accuracy skills
• Strong research and documentation skills
• Strong time management skills and ability to prioritize work to meet deadlines
• Conflict management and decision-making skill
• Excellent verbal, written, and interpersonal communication skills
• Intermediate Microsoft Office (Word, Excel, and Outlook) skills
• Ability to work independently while balancing the needs of multiple projects
• Strong negotiation skills
• Ability to interact with all levels of branch associates and business units
• FINRA registration including Series 9/10 (or FINRA recognized equivalents)

Job Expectations:

• Registration for FINRA Series 9 and 10 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 Posting Locations:

• 114 N Beaumont St., Bldg. D Saint Louis, MO 63103
• 550 S Tryon St. Charlotte, NC 28202
• 550 S 4th St. Minneapolis, MN 55415