Wells Fargo is seeking a Supervisory Control Specialist to join our Annuities and Insurance Supervision Unit within Wealth & Investment Management. Learn more about the career areas and lines of business at w ellsfargojobs .

　　In this role, you will:

　　Provide remote sales supervision and support of annuities and insurance transactions and activities within assigned branches and/or regions for Wells Fargo Advisors

　　Support branch offices with on-going monitoring to ensure compliance with internal policies, applicable laws and regulations

　　Provide ongoing training and education of annuities and insurance when responding to questions from Financial Advisors

　　Work closely with the regional and branch staff on compliance and supervision policies, practices and resolution of issues

　　Supervise specific sales activities on behalf of retail branch managers such as Annuities and Insurance

　　Monitor sales activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies

　　Assist branch offices in resolution of sales activity issues where appropriate

　　Escalate issues to the appropriate management level for resolution

　　Conduct orientation programs on responsibilities for new branch managers and support managers where appropriate

　　Participate and consult regarding policies and procedures, controls, tools and training

　　Identify opportunities for additional synergies and to maximize efficiencies within the private client group

　　Review and analyze controls to manage high risk investment strategies and complex products

　　Evaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancements

　　Present recommendations for resolving complex analysis in search of current and best practices

　　Gather and analyze data, identify trends and present analysis through meaningful statistics

　　Develop expertise in firm, compliance and regulatory policies and procedures

　　Collaborate and consult with Financial Advisors, Branch and Area Managers, CRG Regional Management, and other business units personnel and management.

　　Required Qualifications:

　　2+ years of Supervisory Control, Corporate Insurance Risk, 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

　　Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for immediate registration (or FINRA recognized equivalents)

　　Desired Qualifications:

　　Conflict management and decision-making skills

　　Intermediate Microsoft Office skills

　　Strong negotiation skills

　　Excellent verbal, written, and interpersonal communication skills

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

　　Strong attention to detail and accuracy skills

　　Strong time management skills

　　Strong research and documentation skills

　　Ability to work independently while balancing the needs of multiple projects

　　Ability to gather, organize, and interpret data

　　FINRA registration including Series 9/10 (or FINRA recognized equivalents)

　　Life & Health Insurance licenses

　　Knowledge and understanding of annuity and insurance products

　　Job Expectations:

　　Registration for FINRA Series 9 and 10 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.

　　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.

　　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 not eligible for Visa sponsorship.

　　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 Locations:

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

　　550 S Tryon St. - Charlotte, North Carolina

　　550 S. 4th St. - Minneapolis, Minnesota

　　Posting End Date:

　　1 Feb 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.

　　Company: WELLS FARGO BANK

　　Req Number: R-334107-2

　　Updated: Wed Jan 17 00:00:00 UTC 2024

　　Location: CHARLOTTE,North Carolina