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Annuity Supervisory Control Associate job in St. Louis at Wells Fargo

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Annuity Supervisory Control Associate at Wells Fargo

Annuity Supervisory Control Associate

Wells Fargo St. Louis, MO Full-Time
At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

About this role:

Wells Fargo is seeking a Regional Branch Supervisor to join our Annuities Supervision team within Wealth & Investment Management. Learn more about the career areas and lines of business at

In this role, you will:
  • Review annuity replacements (1035 Exchanges), new annuity transactions, Regulation 60, compliance oversight of annuity business for all channels and principal review of all life insurance.
  • Review of all annuity and transactions that require home office signoff at the Tier II level and review of long-term care, disability, permanent and term insurance
  • Determine suitability for annuity and insurance transactions based on firm policy and regulatory guidelines
  • Work closely with insurance companies, compliance, annuity marketing and annuity operations to research potential compliance issues and to keep abreast of the various annuity products
  • Interact with Financial Advisors and work closely with Branch Managers, Centralized Supervision, and Channel Supervisory Principals in the review of annuity transactions
  • Provide ongoing training and education of annuities to Financial Advisors, Branch Managers and Supervisory Principals
  • Participate and consult regarding technology initiatives that will streamline annuity marketing, operations, and annuity net related issues
  • In addition to helping in developing future guidelines and policies to prevent annuity and insurance compliance issues, this associate will complete other duties as assigned by the manager
Required Qualifications:
  • 6+ months 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 FINRA Series 7 exam to qualify for immediate registration (or FINRA recognized equivalents)
Desired Qualifications:
  • Conflict management and decision-making skills
  • Strong negotiation skills
  • Excellent verbal, written, and interpersonal communication skills
  • Ability to interact with all levels of branch associates and business units
  • Strong attention to detail and accuracy skills
  • FINRA registration including Series 9/10 (or FINRA recognized equivalents)
  • FINRA registration including Series 66 (or FINRA recognized equivalents)
  • Life & Health Insurance licenses
Job Expectations:
  • Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition state registration, 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 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 may also be required.
  • Registration for FINRA Series 9/10 and 63/65 or 66 must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance.
  • Designated insurance license requirements must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. Compliance with state law requirements is required.
Job Posting Locations:

2801 Market St. F & L Bldg. - St. Louis, MO

401 S Tryon St - Charlotte, NC

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

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.

Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Recommended Skills

  • Attention To Detail
  • Brokerage
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  • Conflict Management
  • Consulting
  • Customer Relationship Management
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