Supervisory Control Manager

About this role:

Wells Fargo is seeking a Supervisory Control Manager to join our Client Relationship Group within Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the career areas and business divisions at wellsfargojobs.com.

In this role you will:

• Have responsibility for the day-to-day administrative functioning of the branch offices within the Market, including supervisory oversight of the Registered and Unregistered Associates assigned to the Market
• Work in partnership with the Market Leadership Management Team as well as Operations, Risk, Compliance, and Sales Teams to ensure firm and regulatory requirements are met
• Recruit, train and manage direct report personnel as assigned. Ensure the direct reports perform all daily, weekly, monthly, quarterly supervisory reviews and tasks within one or more Markets and any findings are reported for review, escalation, if necessary, and final resolution
• Act as a liaison contact for home office escalations, inquiries, and initiatives
• Serve as a liaison and escalation point for all other support areas
• Explain all policies and procedures to branch employees and ensures adherence to the policies and procedures

Required Qualifications:

• 5+ 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
• 2+ years of leadership experience
• 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

Desired Qualifications:

• Strong client service skills
• Strong attention to detail and accuracy skills
• Effective organizational, multi-tasking, and prioritizing skills
• Strong verbal, written, and interpersonal communication skills
• Ability to provide leadership to a financial services team
• Ability to process complex transactions and perform extensive research to resolve complex customer issues

Job Expectations:

• Ability to travel up to 25% of the time
• 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 mandatory. In 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 may also be required
• 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.
• Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.
• This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
• This position is not eligible for Visa sponsorship

****For this position the Series 9/10 are the only principal licenses required. The series 24 is not required.

Posting Locations:

• 150 3rd Ave S - Ste 2100 – Nashville, Tennessee 37201
• 17 Cowboys Way Ste 500 – Frisco, Texas 75034
• 8888 Keystone Crsg Ste 700 – Indianapolis, Indiana 46240
• 265 Brookview Centre Way Ste 100 – Knoxville, Tennessee 37919
  

*Preferred location(s) listed above. Other locations within the Wells Fargo CRG Mid America Market footprint may be considered. Relocation assistance is not available for this position.

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 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.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability 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.