State Financial Network Jobs (NOW HIRING)

About this role:

• 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:

• Proficient with compliance and supervision tools such as Adtrack, Broadridge, Engage, MyMarketing, Proofpoint, and Scout for monitoring and reporting activities.

• Strong time management skills with the ability to prioritize multiple tasks and meet deadlines in a fast-paced environment.

• Experience in training and coaching team members or peers, including mentoring less experienced Supervisory Control Specialists.

• Expertise in social media compliance including reviewing profiles and interactive content for adherence to firm policies and regulatory standards.

• Demonstrated ability to lead risk management initiatives, identify supervisory and human capital risks, and implement effective controls across regions.

• Collaborative mindset with experience partnering across supervision, legal, compliance, human resources, credit, risk, and leadership teams to resolve escalations and mitigate risks.

• Strong verbal, written, and interpersonal communication skills

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 role, the Series 24 may be used in place of the Series 9/10 requirement.

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

Posting Location:

• 2801 Market St. F & L Bldg. Saint Louis, MO

• 1525 W W T Harris Blvd Charlotte, NC

• 90 S 7th St., Minneapolis, MN

Pay Range:

Charlotte, NC - $87,000.00 - $140,000.00 USD Annual *Salary range is determined by location of the job

St. Louis, MO - $87,000.00 - $140,000.00 USD Annual*Salary range is determined by location of the job

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.