Senior Control Oversight Specialist

1 week ago


St Louis, Missouri, United States WELLS FARGO BANK Full time
About this position:

Wells Fargo is seeking a Supervisory Control Specialist to become part of our Financial Network (FiNet) within the Branch Infrastructure and Operations division, contributing to Wealth & Investment Management. Discover more about our career areas and business lines at Wells Fargo.

Key Responsibilities:
  • Engage in discussions regarding policies, procedures, controls, tools, and training initiatives.
  • Identify potential synergies and enhance efficiencies within Wells Fargo Advisors Financial Network.
  • Analyze and review controls to manage high-risk investment strategies and intricate products.
  • Assess resources to monitor risk and apply independent judgment to influence process modifications, improvements, and technological advancements.
  • Provide recommendations for addressing complex analyses in pursuit of current and best practices.
  • Collect and analyze data, identify trends, and present findings through insightful statistics.
  • Develop a thorough understanding of compliance and regulatory policies and procedures.
  • Collaborate and consult with Financial Advisors, Client Associates, Branch Managers, Operation Managers, Supervision Managers, and various Business Units.
Essential Qualifications:
  • Minimum of 2 years of experience in Supervisory Control, Corporate Insurance Risk, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage, or equivalent demonstrated through a combination of work experience, training, military experience, or education.
  • Successful completion of Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, 63 examinations (or FINRA recognized equivalents) to qualify for immediate FINRA registration.
Preferred Qualifications:
  • Strong conflict management and decision-making abilities.
  • Intermediate proficiency in Microsoft Office applications.
  • Exceptional negotiation skills.
  • Excellent verbal, written, and interpersonal communication capabilities.
  • Able to interact effectively with all levels of branch associates and business units.
  • Meticulous attention to detail and accuracy.
  • Strong time management and organizational skills.
  • Proficient in research and documentation.
  • Ability to work independently while managing multiple projects.
  • Competence in gathering, organizing, and interpreting data.
  • FINRA registration including Series 65 or 66 (or FINRA recognized equivalents).
Job Expectations:
  • Registration for FINRA Series 65 or 66 must be completed within a specified time frame contingent upon the number of licenses needed if not immediately available to transfer upon hire.
  • Obtaining and/or maintaining appropriate FINRA licenses is required for ongoing employment in this role, along with compliance with state law registration and licensing requirements.
  • This position may require working in the assigned office location for a minimum duration from the hire date.
This role is subject to FINRA Background Screening Requirements, including successful completion of a background check. Internal transfers must comply with applicable regulations. Successful candidates must also meet ongoing regulatory requirements.

Diversity and Inclusion:

At Wells Fargo, we are committed to diversity, equity, and inclusion in the workplace; we welcome applications from all qualified candidates, regardless of their background. Employees are expected to support our focus on building strong customer relationships while adhering to a compliance-driven culture that is essential for our success.

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