CRG Western Divisional Governance Leader

About this role:

Wells Fargo Advisors (WFA) is seeking a Divisional Governance Leader to lead governance and supervision in the Western Division.  Learn more about our career areas and lines of business at wellsfargojobs.com.

In this role, you will:

• Have responsibility for the day-to-day governance of the branch offices within the Western Division, including supervisory oversight of the Registered and Unregistered Associates in the Division
• Work in partnership with the Western Senior Managing Director, Market Leaders, Branch and Area Managers, as well as Operations, Risk, Compliance, and Central Supervision to ensure firm and regulatory requirements are met
• Recruit, train and manage direct report personnel as assigned. Ensure the direct reports perform all daily, weekly, monthly, quarterly supervisory reviews and tasks within one or more Markets and any findings are reported for review, escalation, if necessary, and final resolution
• Act as a liaison contact for home office escalations, inquiries, and initiatives
• Explain all policies and procedures to branch employees and ensures adherence to the policies and procedures
• Identify and recommend opportunities for process improvement, issue resolution, and training and development programs based on collected statistical data
• Determine and recommend appropriate strategy and actions for WFA Governance and Supervision to utilize when creating and implementing policies and procedures for the Client Relationship Group (CRG) Branch Operating Model
• Serve as a primary risk contact for various business units and coordinate subject matter expert groups within WFA Governance and Supervision

Required Qualifications:

• 6+ years of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, or Insurance Brokerage experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 3+ years of management or leadership experience
• US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9, 10, and 66 (or 63 and 65) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• Governance and risk management experience, including the ability to identify risk exposures or factors, propose solutions and ensure enactment of appropriate controls                                   
• Strategic planning and development experience, including the ability to contribute to companywide initiatives and drive results 
• Excellent problem solving skills, including the ability to negotiate and facilitate issue resolution                               
• Excellent verbal, written and interpersonal communication skills including the ability to influence at senior levels  
• Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment
• Ability to work effectively to collaborate with partners across all organizational levels, including senior managers

Job Expectations:

• Ability to travel up to 25% 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 may also be required
• 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 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/discl