Supervisory Control Manager

At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.About this role:Wells Fargo is seeking a Supervisory Control Manager to join our Central Supervision Unit as part of Wealth & Investment Management. Learn more about the career areas and lines of business at wellsfargojobs.com .In this role, you will:Manage and develop a team of analysts, principals, reviewers, supervisors and managers

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

Identify and recommend opportunities for coordinating proper staffing and coverage

Implement and monitor policies and procedures

Provide regular reporting to branches, regions and channels to ensure that the activity is in compliance with all regulatory and firm policies

Make decisions and resolve issues regarding compliance, supervision policies, practices, hiring and training

Provide remote sales supervision support for designated branches and/or regions by reviewing activities, coordinate proper staff and coverage and develop and implement training plans within the Private Client Group and Wealth Brokerage Services to meet business objectives

Manage projects or initiatives

Collaborate and consult with more experienced management

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

Mentor and guide talent development of direct reports and assist in hiring talent

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

2+ years of leadership experience

Successfully completed FINRA Series 7, 9/10, and 63 exams to qualify for immediate registration (or FINRA recognized equivalents)

Desired Qualifications:Experience managing a team of compliance, operational, or sales supervision professionals

Ability to exercise independent judgment to identify and resolve problems

Ability to interact with integrity and a high level of professionalism with all levels of team members and management across the organization

Excellent verbal, written, and interpersonal communication skills

Outstanding 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

3+ years of experience in branch office compliance, sales supervision, or a combination of both

Job Expectations:May be expected to travel up to 25 percent of the time

Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition state registration, 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 review process at the time of offer acceptance.

Registration for FINRA Series 65 or 66 must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance.

Designated insurance license requirements must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. Compliance with state law requirements is required.

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 CRF 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.

Job Expectations:401 S Tryon St - Charlotte, NC

4340 Innslake Dr - Glen Allen, VA

We Value DiversityAt 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, or status as a protected veteran.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.Company: WELLS FARGO BANKReq Number: R-160042-1Updated: Sun May 08 07:01:14 GMT 2022Location: Charlotte,North Carolina