About this role:Wells Fargo is seeking a Supervisory Control Specialist in the Client Relationship Group (CRG) as part of Wealth & Investment Management (WIM). The Conduct Governance & Oversight group is searching for an independent, highly motivated individual who will be responsible for assisting in fulfilling Client Relationship Group’s responsibility of detecting, monitoring, and supervising components of insider threat risks related to the Fraud Risk Management Program. This position will support the review of various exception alerts & model output, escalate matters to various stakeholders, development of actions plans and monitoring therein with partnership from the Branch and/or Governance to mitigate risk. Learn more about the career areas and business divisions at www.wellsfargojobs.comIn 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 Wells Fargo Advisors
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 experiencedManagement, 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 examination (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration.
Desired Qualifications:
Conflict management and decision-making skills
Intermediate Microsoft Office skills
Ability to navigate multiple computer systems, applications, and utilize search tools to find information
Strong negotiation skills
Excellent verbal, written, and interpersonal communication skills
Ability to interact with all levels of branch associates and business unit
Strong attention to detail and accuracy skills
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 66 (or 63/65) 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 Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition, state registration, 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 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, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 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.Posting Locations:
114 N Beaumont St. Saint Louis, MO 63103
401 S Tryon Street; Charlotte, NC 28202
299 S Main Street, Salt Lake City, UT 84111
90 S 7th Street, Minneapolis, MN 5540
1445 Ross Avenue, Dallas, TX 75202
2600 S Price Road, Chandler, AZ 85286
190 River Road, Summit, NJ 07901
Pay Range:
St. Louis, MO - $63,600.00 - $113,000.00 USD Annual Salary range is determined by location of the job
Charlotte, NC - $63,600.00 - $113,000.00 USD Annual Salary range is determined by location of the job
Salt Lake City, UT - $63,600.00 - $113,000.00 USD Annual Salary range is determined by location of the job
Minneapolis, MN - $63,600.00 - $113,000.00 USD Annual Salary range is determined by location of the job
Dallas, TX - $63,600.00 - $113,000.00 USD Annual Salary range is determined by location of the job
Chandler, AZ - $63,600.00 - $113,000.00 USD Annual Salary range is determined by location of the job
Summit, NJ - $76,300.00 - $135,700.00 USD Annual Salary range is determined by location of the job
This position will support the Central Governance team with various projects. Opportunity to obtain additional FINRA qualifications is encouragedPay RangeReflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.$63,600.00 - $135,700.00BenefitsWells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs (https://www.wellsfargojobs.com/en/life-at-wells-fargo/benefits) for an overview of the following benefit plans and programs offered to employees.
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
Posting End Date:22 Dec 2024 Job posting may come down early due to volume of applicants.We Value DiversityAt 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.Applicants with DisabilitiesTo request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo (https://www.wellsfargojobs.com/en/diversity/disability-inclusion/) .Drug and Alcohol PolicyWells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy (https://www.wellsfargojobs.com/en/wells-fargo-drug-and-alcohol-policy) to learn more.Wells Fargo Recruitment and Hiring Requirements:a. Third-Party recordings are prohibited unless authorized by Wells Fargo.b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.Req Number: R-421129
