About this role: Wells Fargo is seeking a Supervisory Control Specialist to join our Financial Network ( FINET ) Governance Team within Wealth and Investment Management. In this role you will be supporting Senior Qualified Supervisors/Regional Supervisors who are dedicated to supporting and partnering with some of the largest and most complex FINET practices within the channel.
In this role, you will: + Participate in risk management, including supervisory risk and human capital risk
+ Administer and/or support direct supervision of regulated activities for Independent Contractor financial services practices
+ Support identification of risks in the region and implement controls to mitigate risks
+ Ensure that risks are appropriately addressed and promote an effective control environment
+ Participate in complex initiatives to implement controls and mitigate risks
+ Provide support for escalations for risk, supervisory, and human capital matters
+ Collaborate with supervision, legal, compliance, human resources, credit, risk, and branch to identify risks in the region
+ Participate in implementing 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: + 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
+ 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. FINRA Series 65 or 66 examinations or equivalent must be completed within a 90 day time period, if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance. 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
+ 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
+ 8601 N Scottsdale Rd – Scottsdale, Arizona
+ 5201 W Amelia Earhart Dr. – Salt Lake City, UT
Posting End Date: 19 Apr 2024
Job posting may come down early due to volume of applicants.**
We Value Diversity At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.
Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.
Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
Applicants with Disabilities To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
Drug and Alcohol Policy Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
Company: WELLS FARGO BANK
Req Number: R-355093-4
Updated: Thu Apr 04 00:00:00 UTC 2024
Location: SCOTTSDALE ,Arizona
