Senior Supervisory Control Specialist, Wells Fargo

Wells Fargo

Location:
United States, Bee Cave ▼
Austin

Category:
Finance

Contract Type:
Employment contract

Salary:

Not provided

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Job Description:

Senior Supervisory Control Specialist responsible for supervisory oversight of practices within Branch(es) to ensure firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. Works with business partners and field to navigate firm's solutions while mitigating risk.

Job Responsibility:

Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations
Supervise activities of representatives to ensure compliance with FINRA and SEC rules and regulations, as well as federal and state laws
Implement and monitor policies and procedures
Provide regular reporting to Governance Leadership, Markets and Division
Make decisions and resolve issues regarding compliance, supervision policies, practices, hiring, disciplinary actions and training
Monitor sales review activities, coordinate proper staff and coverage and develop and implement training plans
Meet regularly with risk and business partners
Manage allocation of people and financial resources for Supervisory Control

Requirements:

4+ years of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through work experience, training, military experience, education
Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
Ability to exercise independent judgment to identify and resolve problems
Ability to interact with all levels of employees and management across the organization and Independent Offices
Excellent verbal, written, and interpersonal communication skills
Negotiating, conflict-management, and decision-making skills
Ability to take initiative, work independently, identify opportunities, and implement change
Ability to lead projects/initiatives with high risk and complexity
Ability to manage multiple and competing priorities

Nice to have:

4+ years of financial services industry experience
Experience in branch office supervision, compliance, broker-dealer governance, sales supervision
Experience partnering with business, compliance and operational partners to address concerns, resolve complex issues and provide solutions

Additional Information:

Job Posted:
August 26, 2025

Expiration:
September 04, 2025

Employment Type:

Fulltime

Work Type:

On-site work

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Senior Supervisory Control Specialist