FiNet Governance Senior Supervisory Control Specialist

About this role:

Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Client Relationship Group (CRG) within Wealth and Investment Management (WIM). This role is responsible for supervisory oversight of practices within the Financial Network (FiNet). You will ensure the firms requirements for supervision are in adherence with regulatory compliance and legal requirements. The Senior Supervisory Control Specialist understands the complexity partnership needs and customer service requirements that come with managing this process. You will work with business partners and the field as needed to navigate the firms solutions to provide the best resolutions for them and their clients all while mitigating risk. You must act with integrity and a high level of professionalism with all levels of employees and management across the organization and Independent Offices. Additionally you will partner with areas of Compliance Legal and the Line of Business as needed in addressing concerns and issues as it relates to the FiNet Financial Advisors and associated Brokerage locations. Learn more about the career areas and lines of business at .

In this role you will:

• Conduct ongoing monitoring to ensure conformity with internal policies applicable laws and regulations

• Have responsibility to supervise the activities of representatives (e.g. financial advisors) to ensure their compliance with Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (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 that the activity complies with all regulatory and firm policies

• Make decisions and resolve issues regarding compliance supervision policies practices hiring disciplinary actions and training

• Monitor sales review activities coordinate proper staff and coverage and develop and implement training plans within CRG to meet business objectives

• Meet regularly with risk and business partners as well as serve as a primary business contact on key initiatives with Wealth Compliance Risk regional management and other home office departments

• Manage allocation of people and financial resources for Supervisory Control

Required Qualifications:

• 4 years of Supervisory Control 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 9/10 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

• US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 66 examination (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• 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

Job Expectations:

• 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 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. For specific FINRA qualification exams obtained after 9/30/2018 the Securities Industry Essentials (SIE) exam co-requisite is required

• This role requires a FINRA supervisory license and may require working in the assigned office location for at leastone 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

• May be expected to travel up to 35% of the time

• 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 CFR 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.

Job Locations:

• 2801 Market St - St. Louis Missouri

• 1525 W WT Harris Blvd - Charlotte North Carolina

• 299 S Main St - Salt Lake City Utah

• 8601 N Scottsdale Rd - Scottsdale Arizona

Posting End Date:

*Job posting may come down early due to volume of applicants.

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. There is emphasis on proactive monitoring governance risk identification and escalation as well as making sound risk decisions commensurate with the business units 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.

Applicants with Disabilities

To request a medical accommodation during the application or interview process visitDisability Inclusion at Wells Fargo.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our 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.