About this role:

Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management (WIM). This role is responsible for supervisory oversight of practices within the Branch(es). You will ensure the firms’ requirements for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands the complexity, partnership needs and customer service requirements that come with managing this process. You will work with business partners and the field as needed to navigate the firm’s solutions to provide the best resolutions for them and their clients, all while mitigating risk. You must act with integrity and a high level of professionalism with all levels of employees and management across the organization and Independent Offices. Additionally, you will partner with areas of Compliance, Legal and the Line of Business, as needed, in addressing concerns and issues as it relates to the Wells Fargo Clearing Services (WFCS) Financial Advisors and associated Brokerage locations. Learn more about the career areas and lines of business at wellsfargojobs.com.

In this role, you will:

• Lead or participate in risk management, including supervisory risk and human capital risk within the private client group

• Contribute to identify risks in the region and implement controls to mitigate risks

• Review and identify risks in the region, ensure that risks are appropriately addressed and promote an effective control environment in markets, complexes, and branches

• Lead or participate in complex initiatives to implement controls and mitigate risks

• Serve as an escalation point for risk, supervisory, and human capital matters

• Collaborate with supervision, legal, compliance, human resources, credit, risk, branch, and hub leadership to identify risks in the region

• Implement controls to mitigate risks while leveraging solid understanding of the firm's policies and procedures

• Collaborate and consult with director of private client group, business risk management and the Regional President to identify region risks

• Partner with supervision, legal, compliance, human resources, credit, risk, market, complex, branch, and hub leadership

Required Qualifications:

• 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

• US Only: 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

• US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 66 examination (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

• Annuity Life & Health Insurance

Desired Qualifications:

• 4+ years of financial services industry experience

• Knowledge and understanding of Annuity and Insurance products

• Knowledge and understanding of Alternative Investments products

• 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

• Experience in branch office supervision, compliance, broker-dealer governance, sales supervision

Job Expectations:

• 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 Industry Essentials (SIE) exam co-requisite is required

• 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. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.

This position is not eligible for Visa sponsorship.

Job Posting Locations:

• 2801 Market St. Saint Louis, Missouri

• 550 S 4th St., Minneapolis, Minnesota

• 1525 W W T Harris Blvd Charlotte, North Carolina

Pay Range

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.

Posting End Date:

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.