Supervision Manager 3 - Centralized Supervision Unit - St. Louis, MO
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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 Supervision Manager 3 has development and administration/technology responsibilities for the Supervision Group and supervises a team of analysts and specialists. Through strong leadership will also assist the Director in driving all department and project management initiatives, ensure accountability within the department ranks and support the Centralized Supervision Unit, Regional Supervision Unit, Controls Team and various firm channels. Requires overseeing regular communication with centralized supervisory principals, regional and branch staff on compliance and supervision policies, practices and resolution of issues. Create and implement integrated training/development strategies and programs around the department s supervisory system to include; identifying supervisory training/development needs and issues for the Centralized Supervision Unit and Regional Supervision Unit; oversee the development and delivery of individual and/or group training and instructional programs encompassing supervision, compliance and management requirements; evaluate the effectiveness of training and development programs; coordinate subject matter expert groups within SG; and collect statistical data for quality improvement purposes. Other responsibilities include training on the escalation process involving the appropriate management level for resolution; works with Corporate and Compliance Technology by providing technical leadership around support, supervisory systems and system accesses; maintain a department technology risk profile to ensure compliance with regulatory requirements; serving as records, historical and supervisory evidence controller; and managing project initiatives, assembling management tools and producing managerial/supervisory reports to support the Director of Supervision, PCG Operations/Administration and Regional Management.. Is the primary contact to various business units such as Compliance, PCG Operations/Administration and Regional/Branch Management involved in firm technology implementations and issue resolution. Complete other duties as assigned by the Director of Supervision. 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.
This position will be responsible for:
- Supporting and assisting in tactical and quality control reviews
- Providing effective risk engagement with home office and regional senior leadership
- Leading and implementing effective communications efforts with compliance/risk/legal and supervision partners
- Developing and providing effective leadership strategies and drive accountability and performance to avoid deficiencies in CSU
- Collaborate in creating and enhancing supervisory processes across within CSU
- 10+ years of financial services industry experience
- 5+ years of experience in branch office compliance, sales supervision, or a combination of both
- Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for immediate registration (or FINRA recognized equivalents)
- Leadership skills including the ability to coach, train, influence, and develop staff
- Advanced Microsoft Office (Word, Excel, Outlook, PowerPoint, and Access) 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
- Coaching, training, and motivating skills
- Ability to exercise independent judgment to identify and resolve problems
- FINRA registration including Series 9/10 (or FINRA recognized equivalents)
- Ability to travel 25% of the time
- Registration for FINRA Series 9/10 must be completed within 180 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
- Designated insurance license requirements must be completed within 180 days of hire date. Compliance with state law requirements is 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.
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.
0051801 WEALTH INV MGMT/WIM PSI
Meet Some of Wells Fargo's Employees
Lauren audits Wells Fargo’s financial reports to assess accuracy and risk. She reviews processes in place, analyzes management controls, and communicates calculations and findings with business partners.
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