CRG Western Divisional Governance Leader

6+ years of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, or Insurance Brokerage experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
3+ years of management or leadership experience
US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9, 10, and 66 (or 63 and 65) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Have responsibility for the day-to-day governance of the branch offices within the Western Division, including supervisory oversight of the Registered and Unregistered Associates in the Division
Work in partnership with the Western Senior Managing Director, Market Leaders, Branch and Area Managers, as well as Operations, Risk, Compliance, and Central Supervision to ensure firm and regulatory requirements are met
Recruit, train and manage direct report personnel as assigned. Ensure the direct reports perform all daily, weekly, monthly, quarterly supervisory reviews and tasks within one or more Markets and any findings are reported for review, escalation, if necessary, and final resolution
Act as a liaison contact for home office escalations, inquiries, and initiatives
Explain all policies and procedures to branch employees and ensures adherence to the policies and procedures
Identify and recommend opportunities for process improvement, issue resolution, and training and development programs based on collected statistical data
Determine and recommend appropriate strategy and actions for WFA Governance and Supervision to utilize when creating and implementing policies and procedures for the Client Relationship Group (CRG) Branch Operating Model
Serve as a primary risk contact for various business units and coordinate subject matter expert groups within WFA Governance and Supervision

Governance and risk management experience, including the ability to identify risk exposures or factors, propose solutions and ensure enactment of appropriate controls
Strategic planning and development experience, including the ability to contribute to companywide initiatives and drive results
Excellent problem solving skills, including the ability to negotiate and facilitate issue resolution
Excellent verbal, written and interpersonal communication skills including the ability to influence at senior levels
Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment
Ability to work effectively to collaborate with partners across all organizational levels, including senior managers