Senior Supervisory Control Specialist

About this role:

Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Client Relationship Group (CRG) Controls Unit within the Strategic Execution Group of Wealth & Investment Management. Learn more about the career areas and lines of business at www.wellsfargojobs.com 

In this role, you will:

• Lead or participate in risk management, including supervisory risk and human capital risk within the private client group

• 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 markets, complexes, and branches

• Lead or participate in complex initiatives to implement controls and mitigate risks

• Lead as the primary escalation point for risk, supervisory, and human capital matters

• Collaborate with supervision, legal, compliance, human resources, credit, risk, branch, and hub leadership 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, branch, and hub leadership

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

• US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• Ability to interact with all levels of branch associates and business units

• Strong attention to detail and accuracy skills

• Effective organizational, multi-tasking, and prioritizing skills

• Strong verbal, written, and interpersonal communication skills

• Ability to perform extensive research and reviews

• Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment

• Ability to negotiate and facilitate issue resolution

• Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills

Job Expectations:  

• Ability to travel up to 25% percent of the time.

• 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. Registration for FINRA Series 65 or 66 must be completed prior to conducting Investment Advisory business.

• 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 C