Supervisory Control Specialist

About This Role

The Supervisory Control Specialist supports annuity and insurance transactions within Wells Fargo Advisors, ensuring compliance with internal policies and external regulations. This role involves remote sales supervision, ongoing monitoring, and providing education to Financial Advisors.

Responsibilities

• Provide remote sales supervision and support of annuities and insurance transactions and activities within assigned branches and/or regions for Wells Fargo Advisors
• Support branch offices with on-going monitoring to ensure compliance with internal policies, applicable laws and regulations
• Provide ongoing training and education of annuities and insurance when responding to questions from Financial Advisors
• Work closely with regional and branch staff on compliance and supervision policies, practices and resolution of issues
• Supervise specific sales activities on behalf of retail branch managers such as Annuities and Insurance
• Monitor sales activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies
• Assist branch offices in resolution of sales activity issues where appropriate
• Escalate issues to the appropriate management level for resolution
• Conduct orientation programs on responsibilities for new branch managers and support managers where appropriate
• Participate and consult regarding policies and procedures, controls, tools and training

Requirements

• 2+ years of Supervisory Control, Corporate Insurance Risk, 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
• Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Qualifications

• 2+ years of Supervisory Control, Corporate Insurance Risk, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through one or a combination of work experience, training, military experience, education

Nice to Have

• Knowledge and understanding of Annuity and Insurance products
• Conflict management and decision-making skills
• Intermediate Microsoft Office skills
• Strong negotiation skills
• Excellent verbal, written, and interpersonal communication skills
• Ability to interact with all levels of branch associates and business units
• Strong attention to detail and accuracy skills
• Strong time management skills
• Strong research and documentation skills
• Ability to work independently while balancing the needs of multiple projects
• Ability to gather, organize, and interpret data
• FINRA registration including Series 66 (or FINRA recognized equivalents)
• Life & Health Insurance licenses

Skills

* Required skills

Benefits