Senior Supervisory Control Specialist

Responsibilities

• Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws, and regulations
• Supervise the activities of representatives, such as financial advisors, to ensure compliance with FINRA, SEC, and federal/state laws
• Implement and monitor organizational policies and procedures
• Provide regular reporting to Governance Leadership, Markets, and Division regarding regulatory and firm policy compliance
• Make decisions and resolve issues regarding compliance, supervision policies, hiring, disciplinary actions, and training
• Monitor sales review activities and coordinate staff coverage to meet business objectives
• Partner with Risk, Compliance, and regional management as a primary business contact for key initiatives
• Manage the allocation of people and financial resources for Supervisory Control

Requirements

• 4+ years of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, or Insurance Brokerage experience
• Successfully completed FINRA Series 7, 9/10, and 63 examinations (or recognized equivalents)
• Successfully completed FINRA Series 66 examinations (or recognized equivalents)
• Ability to travel up to 25-35 percent of the time

Preferred Qualifications

• 4+ years of financial services industry experience
• Experience in branch office supervision, compliance, broker-dealer governance, or sales supervision
• Proven ability to partner with business and operational partners to resolve complex issues
• Strong negotiation, conflict-management, and decision-making skills
• Ability to lead high-risk and complex projects independently

Benefits

• Health benefits
• 401(k) Plan
• Paid time off
• Disability, life, critical illness, and accident insurance
• Parental and critical caregiving leave
• Tuition reimbursement and scholarships for dependent children
• Commuter benefits and adoption reimbursement

About the Company

Wells Fargo & Company (NYSE: WFC) is a leading financial services company with approximately $2.1 trillion in assets. We provide a diversified set of banking, investment, and mortgage products and services through our four reportable operating segments: Consumer Banking and Lending, Commercial Banking, Corporate and Investment Banking, and Wealth & Investment Management.