Senior Supervisory Control Specialist

About This Role

The Senior Supervisory Control Specialist will serve as a Qualified Supervisor to review Promotional and Marketing materials within Wells Fargo's Wealth and Investment Management division. This role involves leading risk management activities, partnering with Financial Advisors to ensure compliance, and providing ongoing education on review processes.

Responsibilities

• Serve as the Qualified Supervisor to review Promotional and Marketing materials
• Lead or participate in risk management, including supervisory risk and human capital risk
• Partner with Financial Advisors and Practices to help them gain supervisory and compliance approval for their Promotional and Marketing pieces
• Provide ongoing education related to the content and review process for promotional and marketing materials
• Manage and prioritize requests submitted to the queue
• Lead or participate in complex initiatives to implement controls and mitigate risks
• Lead as the primary escalation point for risk, supervisory, and human capital matters regarding Financial Advisors and practices Promotional and Marketing approvals
• Collaborate with supervision, legal, compliance, and other areas to advocate for Financial Advisors/Practices
• Implement controls to mitigate risks while leveraging solid understanding of firm's policies and procedures
• Provide feedback and contribute to a growing team

Requirements

• 4+ years of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent
• Successfully completed FINRA Series 7, 9/10, and 63 examinations sufficient for immediate FINRA registration
• Successfully completed FINRA Series 66 examinations sufficient for immediate FINRA registration
• Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment

Qualifications

• 4+ years of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent

Nice to Have

• 4+ years of Marketing review experience
• Experience facilitating and delivering education or group meetings/presentations
• Ability to exercise independent judgment and creative problem-solving techniques
• Ability to communicate accurately and provide clear and concise written response
• Working knowledge and understanding of Smart Station, InfoMax, Adtrax, Salesforce
• Ability to negotiate, influence, and collaborate to build successful relationships
• Ability to interact with all levels of branch associates and business units
• Ability to work effectively in a structured but flexible, adaptable, and changing dynamic and complex environment
• Strong time management skills and ability to meet deadlines

Skills

* Required skills

Certifications