Wells Fargo is hiring: Qualified Supervisor Marketing and Advertising Review in

At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. + Be empowered to be a decision maker and be a problem solver + Work with Financial Advisors and Practices with broad and different goals for their Marketing and Advertising of their practice + 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 Marketing and Advertising approvals + Collaborate with supervision, legal, compliance, and others as needed areas to advocate for Financial Advisors/Practices on their Marketing and Advertising 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 + Partner with supervision, legal, compliance, and others as needed • *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 + Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration • *Desired Qualifications:** + Ability to negotiate, influence, and collaborate to build successful relationships + Ability to exercise independent judgment and creative problem solving techniques + Excellent verbal, written, and interpersonal communication skills + Experience in Marketing & Advertising review for a Broker/Dealer and Registered Investment Advisor (RIA) + Knowledge and understanding of Regulatory Regulations for Marketing and Advertising + Knowledge and understanding of the Independent Advisor business space • *Job Expectations:** + Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance. 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. • *Company:** WELLS FARGO BANK • *Req Number:** R-155320-5 • *Updated:** Fri May 06 06:08:39 GMT 2022 • *Location:** Salt Lake City,Utah