Supervisory Control Specialist

Supervisory Control SpecialistWells Fargo is seeking a Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management. In this role, you will:Participate and consult regarding policies and procedures, controls, tools and trainingReview and analyze controls to manage high risk investment strategies and complex productsEvaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancementsPresent recommendations for resolving complex analysis in search of current and best practicesGather and analyze data, identify trends and present analysis through meaningful statisticsDevelop expertise in firm, compliance and regulatory policies and proceduresCollaborate and consult with Financial Advisors, Divisional and more experienced Management, Market Leaders, Growth Leaders, Branch Managers, Supervision Managers, and varying Business UnitsRequired 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, educationUS only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registrationDesired Qualifications:Experience partnering with business, compliance and supervision partners to address concerns, resolve complex issues and provide solutionsAbility to exercise independent judgment to identify and resolve problemsAbility to interact with all levels of employees and management across the organization and Independent OfficesExcellent verbal, written, and interpersonal communication skillsNegotiating, conflict-management, and decision making skillsAbility to take initiative, work independently, identify opportunities, and implement changeAbility to manage multiple and competing priorities2+ years of financial services industry experienceExperience in compliance or broker-dealer governanceJob 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 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.Ability to travel up to 25 percent of the timeThis 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 not eligible for Visa sponsorship.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.Locations:6390 Main Street - Buffalo, New York4 Tower Pl - Albany, New York400 Meridian Centre Blvd - Rochester, New York7 Brown and Howard Wharf - Newport, Rhode Island500 Plum S, Bridgewater St - Syracuse, New York 13204Pay Range: $85,000 - $133,000 AnnuallyBenefits:Health benefits401(k) PlanPaid time offDisability benefitsLife insurance, critical illness insurance, and accident insuranceParental leaveCritical caregiving leaveDiscounts and savingsCommuter benefitsTuition reimbursementScholarships for dependent childrenAdoption reimbursementWe Value Equal OpportunityWells 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 commensurate with the business unit's risk appetite and all risk and compliance program requirements. 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.Applicants with DisabilitiesTo request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.Drug and Alcohol PolicyWells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.Wells Fargo Recruitment and Hiring Requirements: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.Req Number: R-506596