Series 9 and 10 Finance Jobs

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Supervisory Control Specialist

Wells Fargo Seattle, WA

1mo ago

$92k - $145k/yr Full time Compliance Controls Controls Testing

Compliance Controls Controls Testing

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Job Description

Role Overview

Wells Fargo is seeking a Supervisory Control Specialist to join the Client Relationship Group within Wealth and Investment Management. Learn more about the career areas and lines of business at www.wellsfargojobs.com.

What you'll do

Participate in and advise on policies, procedures, controls, tools, and training.
Review and assess controls to manage high-risk investment strategies and complex products.
Evaluate resources to monitor risk and exercise independent judgment to guide process changes, improvements, and technology enhancements.
Present recommendations for resolving complex analyses in pursuit of current best practices.
Gather and analyze data, identify trends, and present findings using meaningful statistics.
Develop expertise in firm, compliance, and regulatory policies and procedures.
Collaborate with Financial Advisors, Divisional and more experienced Management, Market Leaders, Growth Leaders, Branch Managers, Supervisory Managers, and various Business Units.

Required Qualifications

2+ years of experience in Supervisory Control, Corporate Insurance Risk, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage, or equivalent demonstrated through one or a combination of work experience, training, military experience, or education.
US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration.

Desired Qualifications

2+ years of financial services industry experience.
Experience in compliance or broker-dealer governance.
Experience partnering with business, compliance and supervision teams 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 manage multiple and competing priorities.

Job Expectations and Compliance

Travel up to 25 percent of the time.
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.

Location

Job Location: 999 3rd Ave Seattle, WA 98104

Pay

Pay range: Reflected is the base pay range offered for this position. Pay may vary.

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