Supervisory Control Associate Manager

About this role:

Wells Fargo is seeking a Supervisory Control Associate Manager to join our Centralized 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:

• Supervise registered individuals, supervisory principals and reviewers in day to day operations
• Monitor progress to ensure timely completion, quality and compliance in all regulatory and firm policies
• Implement opportunities for department, firm or risk initiatives in regulatory and firm policies and day to day functionality operations
• Make day to day compliance and supervisory decisions, resolve issues related to ensuring firm and regulatory requirements are met
• Implement and monitor policies and procedures under direction of Supervisory Control
• Collaborate and consult with market managers, regional and branch staff and potential interaction with support departments
• Manage allocation of people and financial resources for Supervisory Control
• Mentor and guide talent development of direct reports and assist in hiring talent

Required Qualifications:

• 2+ years of Supervisory Control or Sales Supervision within Financial Services experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 1+ years of leadership experience
• US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration 

Desired Qualifications:

• Conflict management and decision-making skills
• Excellent verbal, written, and interpersonal communication skills
• Ability to interact with all levels of branch associates and business units
• Strong time management skills
• Ability to work independently while balancing the needs of multiple projects
• Experience driving alignment through strategic influence and negotiation, even when navigating complex or sensitive conversations.
• Ability to influence and negotiate effectively, including delivering challenging messages with clarity and professionalism
• Ability to establish trust and collaboration with individuals across varying personalities and perspectives, including those resistant to engagement.
• Ability to provide guidance and coaching to members of a team
• Knowledge and understanding of brokerage industry regulations, products and systems
• Ability to perform extensive research to resolve complex escalated issues

Job Expectations:

• US Only: Designated insurance license requirements must be completed within a 90 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.
• 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
• 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 CRF 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 position is not eligible for Visa sponsorship.

Job Locations:

• 2801 Market St. F & L Bldg. Saint Louis, MO

• 550 S Tryon St. Charlotte, NC

• 550 S 4th St. Minneapolis, MN

Pay Rang