About this role:

Wells Fargo is seeking a Lead Supervisory Control Specialist who will be a part of our CRG Centralized Review Team. You will be a key partner to Financial Advisors and act as the Qualified Supervisor reviewer of FA submitted customized and consolidated reporting items and carry out the firm and regulatory responsibilities that are associated with these reports. Learn more about our career areas and lines of business at wellsfargojobs.com.

In this role you will:

• Serve as the Qualified Supervisor for reviewing and approving FA generated Custom and Consolidated Reports along with reviewing any additional documentation material to support the Custom/Consolidated report.

• Utilize firm systems and tools in support of the Custom and Consolidated Report review.

• Collaborate with the Divisional Governance team members to ensure a consistent and efficient execution of Compliance and Risk policies and procedures relating to Custom and Consolidated report review.

• Collaborate with supervision, legal, compliance, risk, WIM Centers of Excellence and leadership to identify risks and recommend solutions.

• Review and identify risks and trends and recommend and implement controls to mitigate risks while leveraging solid understanding of the firm's policies and procedures.

• Develop reporting related to trends in Custom and Consolidated report submissions.

• Identify training needs based on analysis as well as create and deliver training on an ongoing basis for field personnel as well as new hire team members.

• Maintain Operating Policy & Procedure documentation for Custom and Consolidated Report Review.

Required Qualifications:

• 5 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

• Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, 63 and 65 (or 66) (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• Financial services compliance experience

• Strong analytical skills with high attention to detail and accuracy

• Knowledge and understanding of Support Center model

• Knowledge and understanding of regulatory compliance requirements surrounding broker dealer roles and FINRA rules

• Supervision experience, preferably within Wells Fargo's Wealth and Investment Management (WIM) line of business

• Strong client service skills

• Strong verbal, written, and interpersonal communication skills

• Leadership skills

• Ability to interact with all levels of branch associates and business units; including managers and advisors

• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment

Job Expectations:

• 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 may also be required

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

This position is not eligible for Visa sponsorship.

Posting Location:

• 90 S 7th St. Minneapolis, MN 55402

• 2801 Market St., F & L Bldg. St. Louis, MO 63103

• 1525 W W T Harris Blvd, Charlotte, NC 28262

Posting End Date: 

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

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

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.

Candidates applying to job openings posted in US: 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.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

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.