Finra License Jobs in California (NOW HIRING)

About this role:

Wells Fargo is seeking a Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management. Learn more about the career areas and lines of business at wellsfargojobs.com.

In this role, you will:

• 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, Regional and more experienced Management, Private Client Group, Branch Managers, Operation Managers, Supervision Managers, and varying Business Units

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 (or 24 where applicable), and 63 (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• 2+ years of financial services industry experience

• Experience in compliance or broker-dealer governance

• Experience partnering with business, compliance and supervision 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 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:

• 50 W San Fernando St - San Jose, California 95113

• 2033 N. Main St, Walnut Creek, California 94596

• 555 California St - San Francisco, California 94104

• 770 Tamalpais Drive - Corte Madera, California 94925

• 3700 Old Redwood Highway - Santa Rosa, California 95403

• 301 University Ave - Palo Alto, California 94301

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.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

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.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visitDisability Inclusion at Wells Fargo.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.