Wells Fargo

Senior Supervisory Control Specialist

Wells Fargo

full-time

Posted on:

Location Type: Office

Location: St. Louis • Arizona • Montana • United States

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Job 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 to ensure their compliance with FINRA and SEC rules and regulations
  • Implement and monitor policies and procedures
  • Provide regular reporting to Governance Leadership, Markets and Division
  • 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
  • Meet regularly with risk and business partners and serve as a primary business contact on key initiatives
  • 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
  • Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, and 63 examinations (or FINRA recognized equivalents)
  • Successfully completed Financial Industry Regulatory Authority (FINRA) Series 66 examination (or FINRA recognized equivalents)
  • 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
  • Excellent verbal, written, and interpersonal communication skills
  • Negotiating, conflict-management, and decision-making skills
  • 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
  • 4+ years of financial services industry experience
  • Experience in branch office supervision, compliance, broker-dealer governance, sales supervision.
Benefits
  • Drug and Alcohol Policy
  • Compliance with enhanced financial fitness standards
  • Encouragement from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities.
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
Supervisory ControlRisk Management ConsultingProperty InsuranceCasualty InsuranceInsurance BrokerageFINRA Series 7FINRA Series 9FINRA Series 10FINRA Series 63FINRA Series 66
Soft Skills
independent judgmentverbal communicationwritten communicationinterpersonal communicationnegotiatingconflict managementdecision makinginitiativeproblem solvingproject leadership