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Supervisory Control Specialist - Complex Products & Strategy
Location:
Saint Louis, MO
Description:
About this role: Wells Fargo is seeking a Supervisory Control Specialist to join our Complex Products and Strategy team within Wealth & Investment Management. The Complex Products and Strategy team serves as part of a dedicated group who conduct enhanced higher risk reviews of Structured Products, Iron Condors, Options and other Complex Products and strategies related to the Wells Fargo Advisors (WFA) product platform. Learn more about the career areas and lines of business at www.wellsfargojobs.com In this role, you will: Participate and consult regarding policies and procedures, controls, tools and trainingIdentify opportunities for additional synergies and to maximize efficiencies within the private client groupReview and analyze controls to manage high risk investment strategies and complex productsEvaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancementsPresent recommendations for resolving complex analysis in search of current and best practicesGather and analyze data, identify trends and present analysis through meaningful statisticsDevelop expertise in firm, compliance and regulatory policies and proceduresCollaborate and consult with Financial Advisors, Regional and more experiencedManagement, Private Client Group, Branch Managers, Operation Managers, Supervision Managers, and varying Business Units Required Qualifications: 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, educationSuccessfully 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: 2+ years of Risk and Compliance experience Knowledge and understanding of: Options Trading, Complex Product, Market Link Investments and Alternative InvestmentStrong research and documentation skillsKnowledge and understanding of retail brokerage and industry trendsIndependent negotiating experienceExcellent verbal, written, and interpersonal communication skillsAbility to interact with all levels of an organizationConflict management and decision making skillsAbility to work independently while balancing the needs of multiple projectsEffective organizational, multi-tasking, and prioritizing skillsAbility to work in a fast-paced deadline driven environmentAbility to work independently, make decisions, and instruct othersFINRA registration including Series 4 (or FINRA recognized equivalents) Job Expectations: Ability to travel 25% of the timeRegistration for FINRA Series 4 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. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance. 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.This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.This position is not eligible for Visa sponsorship. Job Location: 2801 Market St., F & L Bldg. St. Louis, MO 63103550 S Tryon St. Charlotte, NC 28202550 S 4th St. Minneapolis, MN 55415Serve as part of a dedicated group conducting enhanced higher risk reviews of Complex Products and Strategies related to the WFA product platform. This position will provide an ongoing review of the quality of FA and Branch Manager suitability analysis and documentation for client accounts. Also serve as a dedicated SME resource for FA, field and regional management. These efforts will provide consistency in the reviews of specific higher risk investment factors and possible preapproval of certain complex products. Posting End Date: 16 Jun 2024 *Job posting may come down early due to volume of applicants. 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, status as a protected veteran, or any other legally protected characteristic.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. Applicants with Disabilities To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo . Drug and Alcohol Policy Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.PDN-9c0d5de1-2013-46a5-a040-a3ca146fd9b0
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Supervisory Control Specialist - Complex Products & Strategy is a Other Jobs Supervisory Control Specialist Job at Wells Fargo located in Saint Louis MO. Find other listings like Supervisory Control Specialist - Complex Products & Strategy by searching Oodle for Other Jobs Supervisory Control Specialist Jobs.
Supervisory Control Specialist - Complex Products & Strategy is a Other Jobs Supervisory Control Specialist Job at Wells Fargo located in Saint Louis MO. Find other listings like Supervisory Control Specialist - Complex Products & Strategy by searching Oodle for Other Jobs Supervisory Control Specialist Jobs.