Supervisory Control Specialist

About this role:
Wells Fargo is seeking a Supervisory Control Specialist to join our Annuities Supervision team 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 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 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, Insurance and Trade Alerts

• 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

• 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, Regional Management, Operation 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

• 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:

• Ability to negotiate, influence, and collaborate to build successful relationships

• Knowledge and understanding of annuity products

• Conflict management and decision-making skills

• Excellent verbal, written, and interpersonal communication skills

• Strong attention to detail and accuracy skills

• FINRA registration including Series 9/10 (or FINRA recognized equivalents)

• Life & Health Insurance licenses

Job Expectations:

• US Only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. FINRA Series 9/10 examinations or equivalent must be completed within either a 90 or 180-day time period, depending 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. 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.

• US Only: Designated insurance license requirements 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. Compliance with state law requirements is required.

• 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