Market Governance Specialist

Wells Fargo

Market Governance Specialist in Wealth and Investment Management at Wells Fargo. Consulting on policies, managing risks, and collaborating with financial advisors.

Posted 6/19/2026full-timeDallas • Kentucky, Tennessee, Texas • 🇺🇸 United StatesJuniorMid-LevelWebsite

About the role

Key responsibilities & impact

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, Divisional and more experienced Management, Market Leaders, Growth Leaders, Branch Managers, Supervision Managers, and varying Business Units

Requirements

What you’ll need

2+ years of Supervisory Control, Corporate Insurance Risk, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent
Successfully completed FINRA Series 7, 9/10, and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
Experience in compliance or broker-dealer governance
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 manage multiple and competing priorities

Benefits

Comp & perks

Equal opportunity employer
Health insurance
Retirement plans
Paid time off
Flexible work arrangements
Professional development opportunities

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

Supervisory ControlCorporate Insurance RiskRisk Management ConsultingProperty InsuranceCasualty InsuranceInsurance BrokerageComplianceBroker-Dealer GovernanceData AnalysisStatistical Analysis

Soft Skills

Independent JudgmentInterpersonal CommunicationNegotiatingConflict ManagementDecision MakingInitiativeProblem SolvingChange ImplementationCollaborationPrioritization

Certifications

FINRA Series 7FINRA Series 9FINRA Series 10FINRA Series 66