Control Manager
Wells Fargo
full-time
Posted on:
Location Type: Office
Location: San Diego • California • United States
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Salary
💰 $110,000 - $196,000 per year
About the role
- Have responsibility for the day-to-day administrative functioning of the branch offices within the Market, including supervisory oversight of the Registered and Unregistered Associates assigned to the Market
- Work in partnership with the Market Leadership Management Team as well as Operations, Risk, Compliance, and Sales Teams 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
- Serve as a liaison and escalation point for all other support areas
- Explain all policies and procedures to branch employees and ensures adherence to the policies and procedures
Requirements
- 4+ years of Supervisory Control, 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
- 2+ years of leadership experience
- 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
Benefits
- Health benefits
- 401(k) Plan
- Paid time off
- Disability benefits
- Life insurance, critical illness insurance, and accident insurance
- Parental leave
- Critical caregiving leave
- Discounts and savings
- Commuter benefits
- Tuition reimbursement
- Scholarships for dependent children
- Adoption reimbursement
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
supervisory controlrisk managementinsurance brokeragecomplianceregulatory requirementstrainingrecruitmentsupervisory reviewsescalation managementpolicy adherence
Soft skills
leadershipcommunicationteam collaborationproblem-solvingorganizational skillsinterpersonal skillstraining and developmentconflict resolutionanalytical thinkingliaison skills
Certifications
FINRA Series 7FINRA Series 9FINRA Series 10FINRA Series 66FINRA Series 63FINRA Series 65