Supervisory Control Associate

Supervisory Control Associate

Wells Fargo Advisors (WFA) is seeking a Supervisory Control Associate responsible for direct support of branches and their responsibilities for remote compliance supervision of Private Client Group (PCG) and Wealth Brokerage Services, producing Branch Managers, and Financial Advisors.

In this role, you will :

• Provide support to WFA Supervisory Control Specialists as needed
• Provide remote sales supervision and support for the WellsTrade, PCG, WBS, Institutional Retirement and Trust (IRT) channels and support branch offices with on-going monitoring to ensure compliance with internal policies, applicable laws, and regulations
• Work closely with the regional and branch staff on compliance and supervision policies, practices, and resolution of issues
• Conduct certain client account approvals
• Participate or conduct compliance, supervision, control reviews, administration, and technology
• Design risk processes and provide project management support
• Identify issues and provide resolution within Wealth Brokerage Service or Private Client Groups
• Assist with oversight of branch risk management
• Perform basic or tactical ongoing regulatory, compliance and operational reviews as well as other duties related to best practices and opportunities for additional synergies to maximize efficiencies
• Receive direction from management and exercise independent judgment while developing an understanding of sales and other activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies
• Collaborate and consult with financial advisors, branch managers, supervisory principals, and other departments as needed
• Complete other duties as assigned by the Supervision Manager

Required Qualifications :

Desired Qualifications :

Job Expectations :

Job Locations :

We Value Equal Opportunity

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.

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 commensurate with the business unit's risk appetite and all risk and compliance program requirements.

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.

Wells Fargo Recruitment and Hiring Requirements :

Req Number : R-500495