What are the responsibilities and job description for the Supervisory Control Specialist position at D13 Wells Fargo Clearing Services, LLC?
About this role: Wells Fargo is seeking a Supervisory Control Specialist to join our Asset Movement Oversight Team as part of Wealth & Investment Management (WIM). The position plays a key part in the Oversight team's activities concerning various testing engagements (such as Internal Audit, Branch Exam, EBCE) as the team is subject to thorough testing due to its status as an Office of Supervisory Jurisdiction (OSJ) for Asset Movement. Learn more about the career areas and business divisions at www.wellsfargojobs.com In this role, you will: Participate and consult regarding policies and procedures, controls, tools and training Identify opportunities for additional synergies and to maximize efficiencies within the private client group 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, Regional and more experienced Management, 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, education US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration Desired Qualifications: Financial services compliance experience Knowledge and understanding of Asset movement and Money movement activity Experience creating reports in response to management, audit, or regulatory requirements Knowledge and understanding of financial industry trends Experience with governance and oversight requirements for regulatory and risk reporting Client account dashboard experience Experience reviewing testing strategies and methodologies; evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, products, and internal controls; and identifying issues resulting from internal and/or external compliance examinations Ability to interact with all levels of branch associates and business units; including managers and advisors Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment Ability to perform extensive research and reviews Excellent verbal, written, and interpersonal communication skills FINRA registration including Series 66 (or FINRA recognized equivalents) Job Expectations: Ability to travel up to 25 percent of the time US Only: Registration for FINRA Series 66 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. US Only: 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 may also be required. This role requires a FINRA supervisory license and may require working in the assigned office location for at least one year from the hire date. Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section 14 regulatory questions/disclosures, will be ineligible to work from a location other than their assigned office location. 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. Saint Louis, MO Posting End Date: 3 May 2025 *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. Wells Fargo Recruitment and Hiring Requirements: a. Third-Party recordings are prohibited unless authorized by Wells Fargo. b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process. Wells Fargo & Company (NYSE: WFC) is a leading financial services company that has approximately $1.9 trillion in assets. We provide a diversified set of banking, investment and mortgage products and services, as well as consumer and commercial finance, through our four reportable operating segments: Consumer Banking and Lending, Commercial Banking, Corporate and Investment Banking, and Wealth & Investment Management. Wells Fargo ranked No. 34 on Fortune’s 2024 rankings of America’s largest corporations. In the communities we serve, the company focuses its social impact on building a sustainable, inclusive future for all by supporting housing affordability, small business growth, financial health, and a low-carbon economy. News, insights, and perspectives from Wells Fargo are also available at Wells Fargo Stories. Additional information may be found at www.wellsfargo.com LinkedIn: https://www.linkedin.com/company/wellsfargo For questions on how to search and apply, visit our frequently asked questions.
