Senior Supervisory Control Specialist, Wells Fargo

Wells Fargo

Location:
United States, La Jolla

Category:
Finance

Contract Type:
Employment contract

Salary:

80400.00 - 143000.00 USD / Year

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Job Description:

Wells Fargo is seeking a Senior Supervisory Control Specialist to join the Client Relationship Group within Wealth and Investment Management. This role is responsible for supervisory oversight of practices within the Branch(es). The Senior Supervisory Control Specialist ensures adherence to regulatory, compliance and legal requirements, working across departments and with business partners to navigate solutions and mitigate risk. Responsibilities include supervising activities of representatives, monitoring policies, reporting to leadership, and managing projects with high risk and complexity.

Job Responsibility:

Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations
Supervise the activities of representatives (financial advisors) to ensure compliance with FINRA and SEC rules, 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, 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 and serve as a primary business contact on key initiatives
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

Nice to have:

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

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:
April 28, 2025

Expiration:
May 11, 2025

Employment Type:

Fulltime

Work Type:

On-site work

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Senior Supervisory Control Specialist