Location: Charlotte, NC
Company: Wells Fargo
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 the 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 Identify opportunities for additional synergies and to maximize efficiencies within the private client group Review and analyze controls to manage high risk investment strategies and complex products Evaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancements Present recommendations
for resolving complex analysis in search of current and best practices Gather and analyze data, identify trends and present analysis through meaningful statistics Develop expertise in firm, compliance and regulatory policies and procedures Collaborate and consult with Financial Advisors, Branch and Area Managers, CRG 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 Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for immediate registration (or FINRA recognized equivalents) Desired Qualifications: 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 9/10 (or FINRA recognized equivalents) Life & Health Insurance licenses Knowledge and understanding of annuity and insurance products Job Expectations: Registration for FINRA Series 9 and 10 must be completed within 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. Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position.
In addition, state registration, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA review process at the time of offer acceptance. Designated insurance license requirements must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire.
Compliance with state law requirements is required. This position is not eligible for Visa sponsorship. 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 CRF 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.
Job Locations: 2801 Market St. F & L Bldg. - St. Louis, Missouri 550 S Tryon St. - Charlotte, North Carolina 550 S. 4th St. - Minneapolis, Minnesota We Value Diversity At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, interactionual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions.
There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements. Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, interaction, interactionual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.
Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process. Drug and Alcohol Policy Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more. PDN-9acd8388-7e31-48a5-9bb6-e26c80a412a5
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