Supervisory Control Associate Manager, Wells Fargo

Wells Fargo

87000.00 - 154000.00 USD / Year

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Wells Fargo is seeking a Supervisory Control Associate Manager to join our Centralized Supervision Unit within Wealth & Investment Management.

Supervise registered individuals, supervisory principals and reviewers in day to day operations
Monitor progress to ensure timely completion, quality and compliance in all regulatory and firm policies
Implement opportunities for department, firm or risk initiatives in regulatory and firm policies and day to day functionality operations
Make day to day compliance and supervisory decisions, resolve issues related to ensuring firm and regulatory requirements are met
Implement and monitor policies and procedures under direction of Supervisory Control
Collaborate and consult with market managers, regional and branch staff and potential interaction with support departments
Manage allocation of people and financial resources for Supervisory Control
Mentor and guide talent development of direct reports and assist in hiring talent

2+ years of Supervisory Control or Sales Supervision within Financial Services experience, or equivalent demonstrated through work experience, training, military experience, education
1+ years of leadership experience
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

Conflict management and decision-making skills
Excellent verbal, written, and interpersonal communication skills
Ability to interact with all levels of branch associates and business units
Strong time management skills
Ability to work independently while balancing the needs of multiple projects
Experience driving alignment through strategic influence and negotiation, even when navigating complex or sensitive conversations
Ability to influence and negotiate effectively, including delivering challenging messages with clarity and professionalism
Ability to establish trust and collaboration with individuals across varying personalities and perspectives, including those resistant to engagement
Ability to provide guidance and coaching to members of a team
Knowledge and understanding of brokerage industry regulations, products and systems
Ability to perform extensive research to resolve complex escalated issues

What we offer:

Employment Type:

Fulltime

Work Type:

On-site work

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