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About the Role

Wells Fargo is seeking a Senior Supervisory Control Specialist to oversee supervisory practices within branches, ensuring adherence to regulatory, compliance, and legal requirements. This role involves partnering with business units, compliance, and legal teams to mitigate risk and provide optimal resolutions for clients.

Responsibilities

• Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations.
• Supervise the activities of representatives to ensure their compliance with FINRA and SEC rules and regulations, as well as federal and state laws.
• Implement and monitor policies and procedures.
• Provide regular reporting to Governance Leadership, Markets and Division to ensure regulatory and firm policy compliance.
• Make decisions and resolve issues regarding compliance, supervision policies, practices, hiring, disciplinary actions and training.
• Monitor sales review activities, coordinate staff and coverage, and develop/implement training plans.
• Meet regularly with risk and business partners and serve as a primary business contact on key initiatives.
• Manage allocation of people and financial resources for Supervisory Control.

Requirements

• 4+ years of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through work experience, training, military experience, or education.
• US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10 (or 24 where applicable), and 63 (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration.

Skills

• Experience partnering with business, compliance and operational 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 lead projects/initiatives with high risk and complexity.
• Ability to manage multiple and competing priorities.
• 4+ years of financial services industry experience.
• Experience in branch office supervision, compliance, broker-dealer governance, sales supervision.

Location

• 9442 Capital of Texas Hwy N, Ste700 - Austin, Texas 78759
• 13215 Bee Cave Pkwy Ste A150 - Bee Cave, Texas 78738

Work Type

• Onsite

Experience Level

• Senior

About the Company

• 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.

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.
• 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.
• To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.
• Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
• Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.