About this role:

Wells Fargo is seeking a Supervisory Control Associate Manager. This role will lead and oversee the daily activities of registered representatives, supervisory principals, and reviewer and will ensure timely completion of supervisory reviews while maintaining compliance with regulatory requirements and firm policies.

In this role, you will:

• Supervise registered individuals, supervisory principals and reviewers in day-to-day operations
• Monitor progress to ensure timely completion, quality and compliance in all regulatory and firm policies
• Implement opportunities for department, firm or risk initiatives in regulatory and firm policies and day to day functionality operations
• Make day to day compliance and supervisory decisions, resolve issues related to ensuring firm and regulatory requirements are met
• Implement and monitor policies and procedures under direction of Supervisory Control
• Collaborate and consult with market managers, regional and branch staff and potential interaction with support departments
• Manage allocation of people and financial resources for Supervisory Control
• Mentor and guide talent development of direct reports and assist in hiring talent

Required Qualifications:

• 4+ years of Supervisory Control or Sales Supervision within Financial Services experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 1+ years of leadership experience

Desired Qualifications:

• Bachelor's degree in Finance, Business Administration, Accounting, Economics, or a related field
• 4+ years of experience in Supervisory Control, Sales Supervision, Compliance, Risk Management, or Brokerage Operations within the financial services industry
• Proven experience leading teams in a regulated financial environment
• Strong knowledge of FINRA and other applicable regulatory requirements
• Active FINRA Series 7 license
• Demonstrated ability to interpret and apply regulatory requirements and firm policies to complex business situations
• Experience conducting supervisory reviews, quality assurance reviews, and compliance monitoring activities
• Strong analytical and problem-solving skills with the ability to make sound risk-based decisions
• Excellent communication and relationship-building skills with the ability to influence partners across all levels of the organization
• Experience driving process improvements, operational efficiency, and risk mitigation initiatives
• Proficiency with brokerage platforms, compliance systems, and Microsoft Office applications (Excel, Word, PowerPoint)
• Strong coaching, mentoring, and talent development capabilities
• Demonstrated ability to lead change and support business transformation initiatives

Job Expectations:

• Willing to work onsite (BGC office)
• Willing to work US hours
• 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

Posting End Date: 

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. 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.

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 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.