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 internal policies and procedures
• Provide regular reporting to Governance Leadership, Markets, and Division to ensure regulatory and firm policy compliance
• Make decisions and resolve issues regarding compliance, supervision policies, hiring, disciplinary actions, and training
• Monitor sales review activities, coordinate staff coverage, and develop training plans within the Client Relationship Group
• 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 experience in Supervisory Control, Risk Management Consulting, or related financial services fields
• Successfully completed FINRA Series 7, 9/10, and 63 examinations (or recognized equivalents)
• Successfully completed FINRA Series 66 examination (or recognized equivalents)
• Experience within the financial services industry

Preferred Qualifications

• Experience partnering with business, compliance, and operational partners to resolve complex issues
• Background in branch office supervision, compliance, broker-dealer governance, or sales supervision
• Strong ability to exercise independent judgment and lead high-risk, complex projects
• Excellent verbal, written, and interpersonal communication skills
• Proven ability to manage multiple competing priorities and lead through conflict

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.