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About the Role

Wells Fargo is seeking a Supervisory Control Specialist to join their Client Relationship Group (CRG) within Wealth and Investment Management. This role involves participating in and consulting on policies, procedures, controls, tools, and training, as well as reviewing and analyzing controls for high-risk investment strategies and complex products.

Responsibilities

• Participate and consult regarding policies and procedures, controls, tools and training
• 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, Divisional and more experienced Management, Market Leaders, Growth Leaders, Branch 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 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 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
• 2+ years of financial services industry experience
• Experience in compliance or broker-dealer governance

Location

• Buffalo, New York
• Albany, New York
• Syracuse, New York
• Ithaca, New York

Work Type

• Onsite

Experience Level

• 2+ years

Salary/Compensations

• $85,000.00 - $133,000.00

Benefits

• 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

About the Company

• Wells Fargo provides eligible employees with a comprehensive set of benefits.
• 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.
• 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.
• Third-Party recordings are prohibited unless authorized by Wells Fargo.
• Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.