Senior Supervisory Control Specialist

Wells Fargo - Houston, TX

Full-time - Senior

Houston, TX

Credit Intermediation and Related Activities

About the position

Wells Fargo is seeking a Senior Supervisory Control Specialist to join the Client Relationship Group within Wealth and Investment Management. This role is responsible for ensuring supervisory oversight of practices within the Branches, adhering to regulatory, compliance, and legal requirements. The specialist will work closely with business partners and the field to navigate solutions that mitigate risk while providing excellent customer service. The position requires a high level of professionalism and integrity when interacting with employees and management across the organization.

Responsibilities

• Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws, and regulations.
• Supervise the activities of representatives (e.g., financial advisors) to ensure compliance with FINRA and SEC rules and regulations, as well as federal and state laws.
• Implement and monitor policies and procedures.
• Provide regular reporting to Governance Leadership, Markets, and Division to ensure compliance with all regulatory and firm policies.
• Make decisions and resolve issues regarding compliance, supervision policies, practices, hiring, disciplinary actions, and training.
• Monitor sales review activities, coordinate proper staff and coverage, and develop and implement 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 with Wealth, Compliance, Risk, regional management, and other home office departments.
• 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 demonstrated through work experience, training, military experience, or education.
• Successfully completed FINRA Series 7, 9/10, and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration.

Nice-to-haves

• Experience partnering with business, compliance, and operational partners to address concerns and resolve complex issues.
• Ability to exercise independent judgment to identify and resolve problems.
• Ability to interact with all levels of employees and management across the organization and Independent Offices.
• 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.
• Ability to manage multiple and competing priorities.
• 4+ years of financial services industry experience.
• Experience in branch office supervision, compliance, broker-dealer governance, sales supervision.