The WFA Regional Supervisor 1 - Field Services Control – Middle Office Services Group supports the channels with ongoing monitoring of conformity with internal policies, applicable laws and regulations. Provide support to management, conduct certain client account transaction approvals, assist with oversight of risk/fraud management and take on special projects as assigned by manager.

Client account approvals include Letter of Authorizations approvals ACH/Banklink approvals various account documents in addition to placing some outbound calls to clients to confirm transactions. Role will assist and support Anti-Money Laundering, Compliance, Central Operations by reviewing escalated account transactions and working with these teams to resolve issues and close down accounts if applicable.

Basic Qualifications

1+ years of work experience within the financial services industry, including experience related to branch office compliance or sales supervision activities.

Minimum Qualifications

Series 7 (or ability to obtain within 6 months) 63 and 65 or 66 (or ability to obtain within 9 months) excellent written and verbal communication skills ability to prioritize own work under heavy volume and deadline pressure proficiency with computers, including Word, Excel, and Power point ability to travel 10 percent of the time. Demonstrated attention to detail and decision-making skills client service oriented.

Jobs which support brokerage activities may require specific FINRA securities registrations. Required registration(s) vary based on specific job responsibilities. The WFA Regional Supervisor 1 within Field Services Control performs duties and functions that require the Series 7 exam and cannot allow the ability to obtain after hire. This role also requires the Series 9 & 10 (or ability to obtain within 90 days of hire) and FINRA Series 99 registration must be obtained through a qualifying registration or successful completion of qualifying exam within 120 days of hire. Series 63, 65 and 66 are not required for this position.

Preferred Qualifications

Experience reviewing client documentation
Knowledge of risk management policies and procedures
Familiarity with asset movement
Experience with Beta
Series 9/10