Senior Supervisory Control Specialist
Wells Fargo
full-time
Posted on:
Location Type: Office
Location: Saint Louis • Arizona, Montana, North Carolina, Utah • 🇺🇸 United States
Visit company websiteJob Level
Senior
About the role
- Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations
- Have responsibility to supervise the activities of representatives (e.g., financial advisors) to ensure their compliance with Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) rules and regulations, as well as federal and state laws
- Implement and monitor policies and procedures
- Provide regular reporting to Governance Leadership, Markets and Division to ensure that the activity complies with all regulatory and firm policies
- Make decisions and resolve issues regarding compliance, supervision policies, practices, hiring, disciplinary actions and training
- Monitor sales review activities, coordinate proper staff and coverage and develop and implement training plans within CRG to meet business objectives
- Meet regularly with risk and business partners as well as serve as a primary business contact on key initiatives with Wealth, Compliance, Risk, regional management, and other home office departments
- Manage allocation of people and financial resources for Supervisory Control
Requirements
- 4+ years of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through work experience, training, military experience, education
- 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
- Successfully completed Financial Industry Regulatory Authority (FINRA) Series 66 examination (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
- Experience partnering with business, compliance and operational partners to address concerns, resolve complex issues and provide solutions
- Ability to exercise independent judgment to identify and resolve problems
- Ability to interact with all levels of employees and management across the organization and Independent Offices
- Ability to take initiative, work independently, identify opportunities, and implement change
- Ability to lead projects/initiatives with high risk and complexity
- Ability to manage multiple and competing priorities
Benefits
- Health insurance
- 401(k) matching
- Flexible work hours
- Paid time off
- Professional development opportunities
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
Supervisory ControlRisk Management ConsultingProperty InsuranceCasualty InsuranceInsurance BrokerageFINRA Series 7FINRA Series 9FINRA Series 10FINRA Series 63FINRA Series 66
Soft skills
independent judgmentproblem resolutioninitiativeindependent workchange implementationproject leadershipprioritizationcommunicationcollaborationdecision making