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Regional Governance Supervisor

1 month ago

Scottsdale, Arizona, United States Wells Fargo Full time

About this role:

We are seeking a Regional Supervisor to join our Financial Network (FINET) Governance Team within Wealth and Investment Management at Wells Fargo.

As part of this team, you will be responsible for performing Governance/Qualified Supervisor activities and partnering with some of the largest and most complex FINET practices within the channel.

Through the strength in partnership with these practices, you will help them mitigate their own business risk and provide ongoing education on firm policy/regulatory changes.

In addition, your role will ensure we are mitigating risk to Wells Fargo Advisors Financial Network (WFAFN)/Wealth Investment Management (WIM).

In this role, you will:

  • Lead or participate in risk management, including supervisory risk and human capital risk
  • Administer direct supervision of regulated activities for Independent Contractor financial services offices
  • Contribute to identify risks in the region and implement controls to mitigate risks
  • Review and identify risks in the region, ensure that risks are appropriately addressed and promote an effective control environment
  • Lead or participate in complex initiatives to implement controls and mitigate risks
  • Lead as the primary escalation point for risk, supervisory, and human capital matters
  • Collaborate with supervision, legal, compliance, human resources, credit, risk, and branch to identify risks in the region
  • Implement controls to mitigate risks while leveraging solid understanding of the firm's policies and procedures
  • Collaborate and consult with business risk management to identify region risks
  • Partner with supervision, legal, compliance, human resources, credit, and risk

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 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

Conflict management and decision making skills

Strong negotiation skills

Excellent verbal, written, and interpersonal communication skills

Ability to interact with all levels of branch associates and business units

Strong organizational, multi-tasking, and prioritizing skills

Strong attention to detail and accuracy skills

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 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 is 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.

Ability to travel up to 25% of the time

This position is not eligible for Visa sponsorship.

Job Posting Locations:

2801 Market St, F & L Bldg – St. Louis, Missouri

1525 W W T Harris Blvd - Charlotte, North Carolina

5201 W Amelia Earhart Dr. - Salt Lake City, Utah

8601 N Scottsdale Rd - Scottsdale, Arizona

Preferred location(s) listed above. Relocation assistance is not available for this position. Select Locations are considered for current Wells Fargo employee

Posting End Date:

31 Oct 2024

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

We Value Diversity

At Wells Fargo, we believe in diversity, equity, and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran, or any other status protected by applicable law.

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 US: 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.

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.

Req Number:

R-378106