Risk Manager executing responsibilities in Risk Management, overseeing committees and operational risks for UK financial services industry. Assisting CRO and collaborating with teams for effective risk management.
About the role
- Senior Supervisory Control Specialist of Wells Fargo ensuring compliance with regulatory requirements in Financial Network. Supervising financial advisors and collaborating with compliance teams.
Responsibilities
- Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations
- Have responsibility to supervise the activities of representatives (e.g., financial advisors) to ensure their compliance with Financial Industry Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) rules and regulations, as well as federal and state laws
- Implement and monitor policies and procedures
- Provide regular reporting to Governance Leadership, Markets and Division to ensure that the activity complies with all regulatory and firm policies
- Make decisions and resolve issues regarding compliance, supervision policies, practices, hiring, disciplinary actions and training
- Monitor sales review activities, coordinate proper staff and coverage and develop and implement training plans within CRG to meet business objectives
- Meet regularly with risk and business partners as well as serve as a primary business contact on key initiatives with Wealth, Compliance, Risk, regional management, and other home office departments
- Manage allocation of people and financial resources for Supervisory Control
Requirements
- 4+ years of Supervisory Control, 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
- Successfully completed Financial Industry Regulatory Authority (FINRA) Series 66 examination (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
- Experience partnering with business, compliance and operational partners to address concerns, resolve complex issues and provide solutions
- Ability to exercise independent judgment to identify and resolve problems
- Ability to interact with all levels of employees and management across the organization and Independent Offices
- Excellent verbal, written, and interpersonal communication skills
- Negotiating, conflict-management, and decision-making skills
- Ability to take initiative, work independently, identify opportunities, and implement change
- Ability to lead projects/initiatives with high risk and complexity
- Ability to manage multiple and competing priorities
Benefits
- This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents. This position is not eligible for Visa sponsorship.
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