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Wells Fargo is seeking a Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management. In this role, you will: Participate and consult regarding policies and procedures, controls, tools and training; Identify opportunities for additional synergies and to maximize efficiencies within the private client group; Review and analyze controls to manage high risk investment strategies and complex products; Evaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancements; Present recommendations for resolving complex analysis in search of current and best practices; Gather and analyze data, identify trends and present analysis through meaningful statistics; Develop expertise in firm, compliance and regulatory policies and procedures; Collaborate and consult with Financial Advisors, Regional and more experienced Management, Private Client Group, Branch Managers, Operation Managers, Supervision Managers, and varying Business Units.
Job Responsibility
Participate and consult regarding policies and procedures, controls, tools and training
Identify opportunities for additional synergies and to maximize efficiencies within the private client group
Review and analyze controls to manage high risk investment strategies and complex products
Evaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancements
Present recommendations for resolving complex analysis in search of current and best practices
Gather and analyze data, identify trends and present analysis through meaningful statistics
Develop expertise in firm, compliance and regulatory policies and procedures
Collaborate and consult with Financial Advisors, Regional and more experienced Management, Private Client Group, Branch Managers, Operation Managers, Supervision Managers, and varying Business Units
Requirements
2+ years of Supervisory Control, Corporate Insurance Risk, 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 66 examinations
Nice to have
2+ years of financial services industry experience
Experience in compliance or broker-dealer governance
Experience partnering with business, compliance and supervision partners 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
What we offer
Health benefits
401(k) Plan
Paid time off
Disability benefits
Life insurance, critical illness insurance, and accident insurance