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Senior Supervisory Control Specialist

https://www.wellsfargo.com/ Logo

Wells Fargo

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Location:
United States , Saint Louis ▼

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Category:
IT - Administration

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Contract Type:
Employment contract

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Salary:

87000.00 - 154000.00 USD / Year
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Job Description:

Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Centralized Promotional and Marketing Review team within our Client Relationship Group in Wealth and Investment Management.

Job Responsibility:

  • Serve as the Qualified Supervisor to review Promotional and Marketing materials
  • Lead or participate in risk management, including supervisory risk and human capital risk within the Client Relationship Group Promotional and Marketing Review Group
  • Partner with Financial Advisors and Practices to help them gain supervisory and compliance approval for their Promotional and Marketing pieces
  • Provide ongoing education related to the content and review process for promotional and marketing materials
  • Partner with Financial Advisors and Practices with broad and different goals for their Promotion and Marketing of their practice
  • Responsible for managing and prioritizing requests submitted to the queue
  • 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 Promotional and Marketing approvals
  • Collaborate with supervision, legal, compliance, and others as needed areas to advocate for Financial Advisors/Practices on their Promotional and Marketing 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

Requirements:

  • 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
  • Successfully completed Financial Industry Regulatory Authority (FINRA) Series 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Nice to have:

  • 4+ years of Marketing review experience
  • Experience facilitating and delivering education or other related facilitation experience such as group meetings or presentations
  • Ability to exercise independent judgment and creative problem-solving techniques
  • Ability to communicate accurately and be able to provide a clear and concise written response
  • Working knowledge and understanding of Smart Station, InfoMax, Adtrax, Salesforce
  • Ability to negotiate, influence, and collaborate to build successful relationships
  • Ability to interact with all levels of branch associates and business units
  • including managers and advisors
  • Ability to work effectively in a structured but flexible, adaptable, and changing dynamic and complex environment
  • Strong time management skills and ability to meet deadlines
  • FINRA registration including Series 24 (or FINRA recognized equivalents)
What we offer:
  • Health benefits
  • 401(k) Plan
  • Paid time off
  • Disability benefits
  • Life insurance, critical illness insurance, and accident insurance
  • Parental leave
  • Critical caregiving leave
  • Discounts and savings
  • Commuter benefits
  • Tuition reimbursement
  • Scholarships for dependent children
  • Adoption reimbursement

Additional Information:

Job Posted:
May 13, 2026

Expiration:
May 27, 2026

Employment Type:
Fulltime
Work Type:
On-site work
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