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Supervisory Control Specialist

Supervisory Control Specialist

Charlotte StaffingCharlotte, NC, US
1 day ago
Job type
  • Full-time
Job description

Supervisory Control Specialist

Wells Fargo is seeking a Supervisory Control Specialist to join our Client Relationship Group within the Branch Infrastructure and Operations group as part of Wealth & 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 Integrated Brokerage
  • 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

Required Qualifications :

  • 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
  • US Only : Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

    • Desired Qualifications :

  • Conflict management and decision-making skills
  • Strong negotiation skills
  • Intermediate Microsoft Office (Word, Excel, and Outlook) skills
  • Excellent verbal, written, and interpersonal communication skills
  • Ability to interact with all levels of branch associates and business units
  • Strong attention to detail and accuracy skills
  • Strong time management skills
  • Strong research and documentation skills
  • Ability to work independently while balancing the needs of multiple projects
  • Ability to gather, organize, and interpret data
  • FINRA registration including Series 66 (or FINRA recognized equivalents)
  • FINRA registration including Series 9 / 10 (or FINRA recognized equivalents)

    • Job Expectations :

  • US Only : Registration for FINRA Series 9 / 10 and Series 66 must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance.
  • 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.
  • 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.

    • Job Locations :

  • 2801 Market St., St. Louis, Missouri
  • 550 S Tryon St. Charlotte, North Carolina
  • 550 S. 4th St. Minneapolis, Minnesota

    • Pay Range : $77,000.00 - $133,000.00

    Benefits : Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below.

  • Health benefits
  • 401(k) Plan
  • Paid time off
  • Disability benefits
  • Life insurance, critical illness insurance, and accident insurance
  • Parental leave
  • Critical caregiving leave
  • Discounts and savings
  • Commuter benefits
  • Tuition reimbursement
  • Scholarships for dependent children
  • Adoption reimbursement

    • Wells Fargo is an equal opportunity employer. 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.

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    Control Specialist • Charlotte, NC, US