About this role:

Wells Fargo Advisors (WFA) is seeking a CRG Northeast Divisional Governance Leader to lead governance and supervision in the Northeast Division.

This highly visible leadership role offers the opportunity to shape governance and risk strategy across the Northeast Division. You’ll lead branch governance, supervision, risk, and compliance while partnering with senior leaders across the business.

We’re looking for an experienced leader who can build credibility, influence decisions, simplify complex issues, and provide thoughtful guidance in a fast-moving environment. If you thrive on building relationships, exercising independent judgment, and navigating complex business and risk decisions, this role provides an opportunity to make an impact at scale.  Learn more about our career areas and lines of business at wellsfargojobs.com.

In this role, you will:

• Have responsibility for the day-to-day governance of the branch offices within the Northeast Division, including supervisory oversight of the Registered and Unregistered Associates in the Division
• Work in partnership with the Northeast Senior Managing Director, Market Leaders, Branch and Area Managers, as well as Operations, Risk, Compliance, and Central Supervision 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 Explain all policies and procedures to branch employees and ensures adherence to the policies and procedures
• Identify and recommend opportunities for process improvement, issue resolution, and training and development programs based on collected statistical data
• Determine and recommend appropriate strategy and actions for WFA Governance and Supervision to utilize when creating and implementing policies and procedures for the Client Relationship Group (CRG) Branch Operating Model
• Serve as a primary risk contact for various business units and coordinate subject matter expert groups within WFA Governance and Supervision

Required Qualifications:

• 7+ years of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, or Insurance Brokerage experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 3+ years of management or leadership experience
• US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10 (or 24 where applicable), and 63 (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• Governance and risk management experience, including the ability to identify risk exposures or factors, propose solutions and ensure enactment of appropriate controls                                   
• Strategic planning and development experience, including the ability to contribute to companywide initiatives and drive results 
• Excellent problem solving skills, including the ability to negotiate and facilitate issue resolution                               
• Excellent verbal, written and interpersonal communication skills including the ability to influence at senior levels  
• Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment
• Ability to work effectively to collaborate with partners across all organizational levels, including senior managers

Job Expectations:

• 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 is 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.

Locations:

• New York

Pay Range
 

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.

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.

c. Please be prepared to provide accurate information and supporting documentation in connection with any lawful employment and education verification conducted by Wells Fargo.