Wells Fargo
Financial Services
SeniorSupervisoryControlSpecialist
“Senior Supervisory Control Specialist at Wells Fargo. Skills: Supervisory Control, Risk Management, Regulatory Compliance. Conduct ongoing monitoring. Supervise representative activities”
Industry & Context.
Issue resolution
Up to 35% travel, FINRA background screening, Meet enhanced financial fitness, Meet criminal background standards, Comply with ongoing regulatory obligations, Periodic screening, Mandatory reporting of incidents, Abide by applicable policy requirements
What They're Looking For.
Must Have
4+ years Supervisory Control experience, FINRA Series 7, 9/10, and 63 examinations
Nice to Have
Experience partnering with business, Exercise independent judgment, Interact with all levels of employees, 4+ years financial services experience, Experience in branch office supervision, Experience in compliance, 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
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 the field; Partner with risk; Partner with Wealth; Partner with regional management; Partner with home office departments
Communication Scope
Verbal communication; Written communication; Interpersonal communication
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