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Wells Fargo · 1 day ago

Supervisory Control Manager

SAN DIEGO, CA

Full-time

Onsite

Mid, Senior Level

$120K/yr - $196K/yr

4+ years exp

Wells Fargo is seeking a Supervisory Control Manager to join our Client Relationship Group within Wealth and Investment Management as part of Wells Fargo Advisors. The role involves overseeing the administrative functioning of branch offices, ensuring compliance with regulatory requirements, and managing a team of associates.

BankingFinancial ServicesFinTechInsurancePayments

No H1B

Responsibilities

Have responsibility for the day-to-day administrative functioning of the branch offices within the Market, including supervisory oversight of the Registered and Unregistered Associates assigned to the Market

Work in partnership with the Market Leadership Management Team as well as Operations, Risk, Compliance, and Sales Teams to ensure firm and regulatory requirements are met

Recruit, train and manage direct report personnel as assigned. Ensure the direct reports perform all daily, weekly, monthly, quarterly supervisory reviews and tasks within one or more Markets and any findings are reported for review, escalation, if necessary, and final resolution

Act as a liaison contact for home office escalations, inquiries, and initiatives

Serve as a liaison and escalation point for all other support areas

Explain all policies and procedures to branch employees and ensures adherence to the policies and procedures

Qualification

Supervisory ControlRisk ManagementFINRA Series 7LeadershipClient ServiceAttention to DetailOrganizational SkillsCommunication SkillsProblem Solving

Required

4+ years 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

2+ years of leadership experience

US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9, 10, and 66 (or 63 and 65) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration