Supervisory Control Associate Manager

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
  
  

• 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
  
  

• 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
  
  

• Willing to work US hours
• Willing to work onsite (BGC office)
• This role requires a FINRA supervisory license.