Wells Fargo
Financial Services
FiNetGovernanceSeniorSupervisoryControlSpecialist
“FiNet Governance Senior Supervisory Control Specialist at Wells Fargo. Skills: Supervisory Control, Risk Management, Compliance, FINRA regulations. Conduct ongoing monitoring. Supervise representative activities”
Industry & Context.
Issue resolution; Problem identification; Problem resolution
Obtaining/maintaining FINRA license, State law registration/licensing, Product licenses, SAFE licensing, Enhanced financial fitness, Criminal background standards, FINRA Background Screening, Report certain incidents, Not eligible for Visa sponsorship, May travel up to 35%
What They're Looking For.
Must Have
4+ years Supervisory Control experience, 4+ years Risk Management Consulting experience, 4+ years Property or Casualty Insurance experience, 4+ years Insurance Brokerage experience, FINRA Series 7, 9/10, and 63 examinations, FINRA Series 66 examination
Nice to Have
Experience partnering with business, Experience partnering with compliance, Experience partnering with operational partners, 4+ years financial services industry experience, Experience in branch office supervision, Experience in broker-dealer governance, Experience in sales supervision
What You'll Do.
Conduct ongoing monitoring
Supervise representative activities
Implement policies and procedures
Monitor policies and procedures
Provide regular reporting
Make decisions on compliance
Resolve issues on compliance
Monitor sales review activities
Coordinate staff and coverage
Develop training plans
Implement training plans
Meet with risk partners
Meet with business partners
Serve as business contact
Manage allocation of resources
How You'll Work.
Team & Collaboration
Partner with Compliance; Partner with Legal; Partner with Line of Business; Work with business partners; Work with risk partners; Work with management
Communication Scope
Verbal communication; Written communication; Interpersonal communication
Process & Methodology
Project leadership
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