Senior Supervisory Control Specialist

Wells Fargo - Oklahoma City, OK

Full-time - Senior

Oklahoma City, OK

Credit Intermediation and Related Activities

About the position

Wells Fargo is seeking a Senior Supervisory Control Specialist to oversee supervisory practices within the Branches of the Client Relationship Group in Wealth and Investment Management. This role ensures compliance with regulatory, legal, and internal policies while managing relationships with business partners and addressing concerns related to financial advisors and brokerage locations. The position requires a high level of professionalism and integrity, as well as the ability to navigate complex issues and provide effective solutions.

Responsibilities

• Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations
• Supervise the activities of representatives to ensure compliance with FINRA and SEC rules and regulations
• Implement and monitor policies and procedures
• Provide regular reporting to Governance Leadership, Markets and Division to ensure compliance with regulatory and firm policies
• Make decisions and resolve issues regarding compliance, supervision policies, practices, hiring, disciplinary actions and training
• Monitor sales review activities and develop training plans within CRG to meet business objectives
• Meet regularly with risk and business partners and serve as a primary business contact on key initiatives
• Manage allocation of people and financial resources for Supervisory Control

Requirements

• 4+ years of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent
• Successfully completed FINRA Series 7, 9/10, and 66 examinations (or FINRA recognized equivalents)

Nice-to-haves

• Experience partnering with business, compliance and operational partners
• Ability to exercise independent judgment to identify and resolve problems
• Excellent verbal, written, and interpersonal communication skills
• 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
• 4+ years of financial services industry experience
• Experience in branch office supervision, compliance, broker-dealer governance, sales supervision

Benefits

• Diversity and inclusion initiatives
• Drug and alcohol-free workplace policy
• Support for ongoing education and skill development