Supervisory Control Specialist
| Company | Wells Fargo |
|---|---|
| Location | Palo Alto, CA, USA, Monterey, CA, USA, San Francisco, CA, USA, San Jose, CA, USA, Walnut Creek, CA, USA |
| Salary | $69900 – $135700 |
| Type | Full-Time |
| Degrees | |
| Experience Level | Junior, Mid Level |
Requirements
- 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
- US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
Responsibilities
- Participate and consult regarding policies and procedures, controls, tools and training
- 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, Divisional and more experienced Management, Market Leaders, Growth Leaders, Branch Managers, Supervision Managers, and varying Business Units
Preferred Qualifications
- Experience partnering with business, compliance and supervision partners to address concerns, resolve complex issues and provide solutions
- 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 manage multiple and competing priorities
- 2+ years of financial services industry experience
- Experience in compliance or broker-dealer governance