Supervisory Control Specialist

About this role:

Wells Fargo is seeking a Supervisory Control Specialist to join our Annuities and Insurance Supervision Unit within Wealth & Investment Management. Learn more about the career areas and lines of business at www.wellsfargojobs.com

In this role, you will:

• Provide remote sales supervision and support of annuities and insurance transactions and activities within assigned branches and/or regions for Wells Fargo Advisors

• Support branch offices with on-going monitoring to ensure compliance with internal policies, applicable laws and regulations

• Provide ongoing training and education of annuities and insurance when responding to questions from Financial Advisors

• Work closely with the regional and branch staff on compliance and supervision policies, practices and resolution of issues

• Supervise specific sales activities on behalf of retail branch managers such as Annuities and Insurance

• Monitor sales activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies

• Assist branch offices in resolution of sales activity issues where appropriate

• Escalate issues to the appropriate management level for resolution

• Conduct orientation programs on responsibilities for new branch managers and support managers where appropriate

• 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, Branch and Area Managers, CRG Regional Management, and other business units personnel and management.

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

Desired Qualifications:

• Knowledge and understanding of Annuity and Insurance products

• Conflict management and decision-making skills

• Intermediate Microsoft Office skills

• Strong negotiation skills

• Excellent verbal, written, and interpersonal communication skills

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

• Strong attention to detail and accuracy skills

• Strong time management skills

• Strong research and documentation skills

• Ability to work independently while balancing the needs of multiple projects

• Ability to gather, organize, and interpret d