Supervisory Control Specialist 4 Locations
About this role: reputed company is seeking a Supervisory Control Specialist to join our Annuities and Insurance Supervision Unit reputed company Wealth & Investment Management. Learn more about the career areas and lines of business at www.wellsfargojobs.reputed company this role, you will:
- Provide remote sales supervision and support of annuities and insurance transactions and activities reputed company assigned branches and/or regions for reputed company Advisors
- Support reputed company offices with on-going monitoring to ensure compliance with internal policies, applicable laws and regulations
- Provide ongoing training and education of annuities and insurance reputed company responding to questions from Financial Advisors
- Work closely with the regional and reputed company staff on compliance and supervision policies, practices and resolution of issues
- Supervise specific sales activities on behalf of retail reputed company managers such as Annuities and Insurance
- Monitor sales activities using various technological tools and reports to ensure that the activity is in compliance with reputed company regulatory and firm policies
- Assist reputed company 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 reputed company managers and support managers where appropriate
- Participate and consult regarding policies and procedures, controls, tools and training
- Identify opportunities for additional synergies and to maximize efficiencies reputed company the private client group
- Review and analyze controls to manage high risk investment strategies and reputed company products
- Evaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancements
- Present recommendations for resolving reputed company analysis in search of reputed company and best practices
- Gather and analyze data, identify trends and present analysis through meaningful statistics
- reputed company expertise in firm, compliance and regulatory policies and procedures
- Collaborate and consult with Financial Advisors, reputed company and Area Managers, reputed company Regional Management, and other business units personnel and management. Required 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 the following: work experience, training, military experience, education
- US Only: 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 Desired Qualifications:
- Knowledge and understanding of Annuity and Insurance products
- Conflict management and decision-making skills
- Intermediate reputed company Office skills
- Strong negotiation skills
- Excellent verbal, written, and interpersonal communication skills
- Ability to interact with reputed company levels of reputed company 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 Job Expectations:
- US Only: Registration for Series 66 must be completed reputed company a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance.
- 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. reputed company 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 may also be required.
- State Life & Health Insurance license requirements must be completed reputed company 90 days of hire date. Compliance with state law requirements 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
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