Supervision Manager 1 - Wells Fargo Advisors - Centralized Supervision Unit
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Wells Fargo Advisors operates the nation’s third-largest Brokerage business with 15,134 Financial Advisors and 3,883 licensed bankers in retail stores across the U.S. Wells Fargo Advisors administer $1.4 trillion in client assets. Unprecedented choice and flexibility for Financial Advisors and their clients is provided through distinct business channels supported by established products, services and technology.
The WFA Supervision Manager 1 has oversight responsibilities for supervisory principals/reviewers within PCG Supervision and oversight responsibilities for specific supervisory responsibilities within the PCG, WBS, IPCS and/or IRT channels. Mainly responsible for running the day to day operations for their team. The team may have responsibilities pertaining to Branch Manager Supervision, Pre/Post Audits and/or review of specific sales activities such as trade blotter, annuities and email. Serves as team lead to a group of supervisory principals/reviewers for all supervisory and personnel matters. Supports the regions in the on-going monitoring of branch office conformity with internal policies, applicable laws and regulations. Requires working closely with the regional and branch staff on compliance/supervision policies, practices and issue resolution. Serves as manager to supervisory principals/reviewers and coordinates proper back-up coverage. Responsible for staffing their team with associates who have the appropriate licenses and registrations. Implement and monitor policies and procedures for their team. Provide regular reporting to branches and regions. May supervise specific sales activities in assigned branch(s) and/or region(s) on behalf of supervisory principals. Monitors sales activities using various technological tools and reports and ensures that the activity is in compliance with all regulatory and firm policies. Ensure implementation of department, firm or risk initiatives. Addresses manager/branch responsiveness to escalations. Assist branch offices in resolution of sales activity issues where appropriate. Escalate issues to the appropriate management level for resolution. Completes other duties as assigned. Jobs which support brokerage activities may require specific FINRA securities registrations. Required registration(s) vary based on specific job responsibilities. If required, the FINRA Series 99 registration must be obtained through a qualifying registration or successful completion of qualifying exam within 120 days of hire.
Specifically this position will be responsible for:
- Running the day to day operations for team of Supervision Analyst and Branch Manager Supervision, Pre/Post Audits and/or review of specific sales activities
- Providing strategic direction for the Supervision Analyst role and provide direction by influence
- Stay informed of changing firm policies and how they impact Supervision Analyst Role
- Use available resources to improve processes
- 5+ years of financial services industry experience
- 2+ years of experience in branch office compliance, sales supervision, or a combination of both
- Successfully completed FINRA Series 7, 9/10, and 66 (or 63 and 65) exams to qualify for immediate registration (or FINRA recognized equivalents)
- Leadership skills
- Intermediate Microsoft Office skills
- Ability to navigate multiple computer systems, applications, and utilize search tools to find information
- Strong attention to detail and accuracy skills
- Excellent verbal, written, and interpersonal communication skills
- Outstanding negotiating, conflict management, and decision making skills
- Ability to interact with all levels of branch associates and business units
- Ability to exercise independent judgment to identify and resolve problems
- Ability to travel 25% of the time
- 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.
All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.
Relevant military experience is considered for veterans and transitioning service men and women.
Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.
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