Finra Jobs in Utah (NOW HIRING)

About this role:

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

In this role, you will:

• Serve as the Qualified Supervisor to review Promotional and Marketing materials
• Lead or participate in risk management, including supervisory risk and human capital risk within the Client Relationship Group Promotional and Marketing Review Group
• Partner with Financial Advisors and Practices to help them gain supervisory and compliance approval for their Promotional and Marketing pieces.
• Provide ongoing education related to the content and review process for promotional and marketing materials.
• Partner with Financial Advisors and Practices with broad and different goals for their Promotion and Marketing of their practice
• Responsible for managing and prioritizing requests submitted to the queue
• Lead or participate in complex initiatives to implement controls and mitigate risks
• Lead as the primary escalation point for risk, supervisory, and human capital matters regarding Financial Advisors and practices Promotional and Marketing approvals
• Collaborate with supervision, legal, compliance, and others as needed areas to advocate for Financial Advisors/Practices on their Promotional and Marketing initiatives
• Implement controls to mitigate risks while leveraging solid understanding of the firm's policies and procedures
• Provide feedback and contribute to a growing team

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 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• 4+ years of Marketing review experience
• Experience facilitating and delivering education or other related facilitation experience such as group meetings or presentations
• Ability to exercise independent judgment and creative problem-solving techniques
• Ability to communicate accurately and be able to provide a clear and concise written response
• Working knowledge and understanding of Advisor Gateway, InfoMax, Red Oak, Salesforce
• Ability to negotiate, influence, and collaborate to build successful relationships
• Ability to interact with all levels of branch associates and business units; including managers and advisors
• Ability to work effectively in a structured but flexible, adaptable, and changing dynamic and complex environment
• Strong time management skills and ability to meet deadlines
• FINRA registration including Series 24 (or FINRA recognized equivalents)

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 leastone 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 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.

• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process

• This position is not eligible for Visa sponsorship.

****For this position the Series 24 is the only principal license required.****

Job Locations:

• 2801 Market St - St. Louis, Missouri 63103
• 5201 W Amelia Earhart Dr - Salt Lake City, Utah 84116
• 90 S 7th St - Minneapolis, Minnesota 55402
• 1525 W W T Harris Blvd - Charlotte, North Carolina 28262
• 550 S Tryon St - Charlotte, North Carolina 28202
• 8601 N Scottsdale Rd - Scottsdale, Arizona 85253

Pay Range:

Minneapolis, MN - $96,000.00 - $154,000.00 USD Annual *Salary range is determined by location of the job

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.