Supervisory Control Associate – Field Support Governance – WELLS FARGO BANK – Cedar Rapids, IA
WELLS FARGO BANK
Full Job Description
It all begins with you.
About this role:
Wells Fargo Advisors is seeking a Supervisory Control Associate to provide field support governance to ensure that branch compliance procedures fulfill all compliance requirements.
In this role, you will:
- Participate or conduct compliance, supervision, control reviews, administration and technology
- Design risk processes and provide project management support
- Identify issues and provide resolution within Insurance or Private Client Groups
- Perform basic or tactical ongoing regulatory, compliance and operational reviews as well as other duties related to best practices and opportunities for additional synergies to maximize efficiencies
- Receive direction from management and exercise independent judgment while developing an understanding of sales activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies
- Collaborate and consult with financial advisors, branch managers, supervisory principals and Market Administration Management
- 6+ months 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 FINRA Series 7 & 66 (or 63 and 65) exams to qualify for immediate registration (or FINRA recognized equivalents)
- FINRA registration including Series 9/10 (or FINRA recognized equivalents)
- Strong client service skills
- Strong attention to detail and accuracy skills
- Effective organizational, multi-tasking, and prioritizing skills
- Strong verbal, written, and interpersonal communication skills
- Knowledge and understanding of brokerage: systems or applications
- Ability to process complex transactions and perform extensive research to resolve complex customer issues
- Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment
- Ability to negotiate and facilitate issue resolution
- Ability to travel 25 percent of the time may be required
- For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required
Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition, state registration, 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 review process at the time of offer acceptance.
- Registration for FINRA Series 9/10 must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
Job Posting Locations:
Wisconsin: Green Bay, Milwaukee, and Madison Area
Iowa: West Des Moines and Cedar Rapids Area
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, 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.
To apply, please visit the following URL:https://www.indeed.com/viewjob?t=Supervisory+Control+Associate&c=WELLS+FARGO+BANK&l=Cedar+Rapids%2C+IA&jk=184c71e32756e82d&rtk=1g276lkhepvvt800&from=rss→