FiNet Governance Lead Supervisory Control Specialist

Wells Fargo is seeking a Lead Supervisory Control Specialist who will take on the role and responsibility of the Branch Manager for a Financial Network (FINET) Practice(s). You will be partnering with the Business Owners/Licensee(s) of the FINET Practice(s) to carry out the firm and regulatory responsibilities that are associated with being a Branch Manager/Principal. Learn more about the career areas and lines of business at wellsfargojobs.com .

In this role, you will:

• Serve as the Branch Office Manager (BOM)/Principal for the FINET Practice(s) as they will have no BOM/Principal in their business location
• Responsible for Principal approvals for the FINET Practice(s)
• Identify risks in the FINET Practice(s), recommend solutions, and implement controls to mitigate risk
• Review and identify risks and trends in the FINET Practice(s), ensure that risks are appropriately and consistently addressed and promote an effective control environment in the practice(s)
• Collaborate with supervision, legal, compliance, credit, risk, and FINET/Client Relationship Group (CRG) leadership to identify risks in the practice(s) and recommend solutions
• Recommend and implement controls to mitigate risks while leveraging solid understanding of the firm's policies and procedures

Required Qualifications:

• 5 years of Supervisory Control, 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 Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, 63 and 65 (or 66) (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• Strong relationship management skills
• Ability to exercise independent judgment to identify and resolve problems
• Ability to provide strong customer service while listening, eliciting information efficiently, comprehending, and resolving complex customer issues
• Excellent verbal, written, and interpersonal communication skills
• Ability to identify risk exposures or factors, propose solutions and ensure enactment of appropriate controls
• Ability to communicate trends and impacts to mid-senior level management

Job Expectations:

• Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements, 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 licensing review process at the time of offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required
• 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.
• Ability to travel up to 25% of the time
• This position is not eligible for Visa sponsorship.

Job Locations:

• 2801 Market St, F & L Bldg - St. Louis, Missouri
• 1525 W W T Harris Blvd - Charlotte, North Carolina
• 5201 W Amelia Earhart Dr. - Salt Lake City, Utah
• 8601 N Scottsdale Rd - Scottsdale, Arizona
• 550 S 4th St - Minneapolis, Minnesota
• 801 Walnut St. - Des Moines, Iowa
• 1445 Ross Ave. - Dallas, TX

Preferred location(s) listed above. Relocation assistance is not available for this position. Select Locations are considered for current Wells Fargo employees.

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, age, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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.