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Supervisory Control Specialist – Annuities and Insurance
Wells Fargo. Provide remote sales supervision and support for annuities and insurance transactions and activities within assigned branches and/or regions .
About the role
Key responsibilities & impact- Provide remote sales supervision and support for annuities and insurance transactions and activities within assigned branches and/or regions
- Monitor branch offices for compliance with internal policies, applicable laws, and regulations
- Provide training and education on annuities and insurance to Financial Advisors
- Collaborate with regional and branch staff on compliance, supervision policies, and issue resolution
- Supervise annuities and insurance sales activities on behalf of retail branch managers
- Monitor sales activities using technological tools and reports
- Assist with resolving sales activity issues and escalate issues to appropriate management
- Conduct orientation programs for new branch managers and support managers
- Consult on policies, procedures, controls, tools, and training
- Review and analyze controls for high-risk investment strategies and complex products
- Evaluate resources and guide process, technology, and control improvements
- Present recommendations based on complex analysis and current best practices
- Gather and analyze data, identify trends, and present meaningful statistics
- Develop expertise in firm, compliance, and regulatory policies and procedures
- Collaborate with Financial Advisors, Branch and Area Managers, CRG Regional Management, and other business units
Requirements
What you’ll need- 2+ years of Supervisory Control, Corporate Insurance Risk, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through work experience, training, military experience, or education
- Successfully completed FINRA Series 7, 9/10 (or 24 where applicable), and 63 (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
- Knowledge and understanding of Annuity and Insurance products
- Intermediate Microsoft Office skills
- FINRA registration including Series 65 (or 66) (or FINRA recognized equivalents)
- Life & Health Insurance licenses
- Conflict management and decision-making skills
- Strong negotiation, communication, attention to detail, time management, research, documentation, and data interpretation skills
- Ability to interact with all levels of branch associates and business units
- Ability to work independently while balancing multiple projects
- FINRA supervisory license
- Successful completion of FINRA background screening and ongoing regulatory obligations
- Compliance with state law registration and licensing requirements
- State Life & Health Insurance license requirements completed within 90 days of hire
- No visa sponsorship available
Benefits
Comp & perks- Equal opportunity employment
- Drug-free workplace
- Medical accommodation support during the application or interview process