Supervisory Control Associate, Wells Fargo

Wells Fargo

Location:
United States, Philadelphia ▼
Conshohocken
Doylestown
Wayne

Category:
Finance

Contract Type:
Not provided

Salary:

Not provided

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Job Description:

Wells Fargo is seeking a Supervisory Control Associate to join our Client Relationship Group within Wealth and Investment Management. Learn more about the career areas and lines of business at wellsfargojobs.com.

Job Responsibility:

Participate or conduct compliance, supervision, control reviews, administration and technology
Design risk processes and provide project management support
Identify issues and provide resolution within Insurance or Private Client Groups
Perform basic or tactical ongoing regulatory, compliance and operational reviews as well as other duties related to best practices and opportunities for additional synergies to maximize efficiencies
Receive direction from management and exercise independent judgment while developing an understanding of sales activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies
Collaborate and consult with financial advisors, branch managers, supervisory principals and Market Administration Management

Requirements:

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
US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Nice to have:

Experience partnering with business, compliance and supervision 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 manage multiple and competing priorities
6+ months of financial services industry experience
Experience in compliance or broker-dealer governance

Additional Information:

Job Posted:
July 28, 2025

Expiration:
August 29, 2025

Employment Type:

Fulltime

Work Type:

On-site work

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Supervisory Control Associate