About This Role
Wells Fargo is seeking a Supervisory Control Associate Manager.
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
- 2+ 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 or education
- 1+ years of leadership experience
Desired Qualifications
- Minimum of 1 year in a people manager role in a compliance, financial services or global banking set up
- Strong stakeholder management skills
- Strong communication skills
- Active FINRA Series 7 license
Job Expectations
- Willing to work US hours
- Willing to work onsite (BGC office)
- This role requires a FINRA supervisory license.
Reference Number
R-491099
