About this role:

Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Client Relationship Group (CRG) Controls Unit within the Strategic Execution Group of Wealth & Investment Management. Learn more about the career areas and lines of business at www.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

• Lead as the primary 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

• 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

Desired Qualifications:

• Ability to interact with all levels of branch associates and business units

• Strong attention to detail and accuracy skills

• Effective organizational, multi-tasking, and prioritizing skills

• Strong verbal, written, and interpersonal communication skills

• Ability to perform extensive research and reviews

• Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment

• Ability to negotiate and facilitate issue resolution

• Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills

• FINRA registration including Series 65 or 66 (or FINRA recognized equivalents)

Job Expectations:

Ability to travel up to 25% percent of the time.

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. Registration for FINRA Series 65 (or 66) must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.

Designated insurance license requirements must be completed within either a 90 or 180-day time period following commencement of employment, depending upon the number of license(s) needed if not immediately available to transfer upon hire. State Insurance license(s) are required for this role and must be completed within a specified period of time determined by the required number of licenses to be obtained and will be communicated to the candidate upon offer acceptance.

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.

Job Posting Locations:

• 114 N. Beaumont St. D Bldg. St. Louis, MO

• 401 S. Tryon St. Charlotte, NC

• 90 S. 7th St. Minneapolis, MN

• 299 S Main St. Salt Lake City, UT

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.