In this role, you will:

• 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 FINRA and 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

Required Qualifications:

• 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

• US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10 (or 24 where applicable), and 63 (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• 4+ years of financial services industry experience

• Experience in branch office supervision, compliance, broker-dealer governance, sales supervision

• 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

Job Expectations:

• 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. Wells Fargo 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 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

****For this position the Series 9/10 are the only principal licenses required. The series 24 is not required.

This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.

This position is not eligible for Visa sponsorship.

Job Location:

461 From Rd., Paramus, NJ 07652

Pay Range

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.

Posting End Date:

*Job posting may come down early due to volume of applicants.