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Supervisory Control Associate

https://www.wellsfargo.com/ Logo

Wells Fargo

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Location:
United States, Charlotte

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Category:
Finance

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Contract Type:
Employment contract

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Salary:

55300.00 - 98300.00 USD / Year
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Job Description:

Wells Fargo Advisors (WFA) is seeking a Supervisory Control Associate responsible for direct support of branches and their responsibilities for remote compliance supervision of Private Client Group (PCG) and Wealth Brokerage Services, (WBS) producing Branch Managers, and Financial Advisors.

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
  • 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
  • Registration for FINRA Series 65 or 66 must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire
  • Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position
  • Compliance with state law registration and licensing requirements is mandatory
  • Specific product licenses or SAFE licensing may apply
  • Ability to meet enhanced financial fitness and criminal background standards
  • Must pass FINRA background screening requirements
  • Strong analytical skills including strategically analyzing data, diagnosing opportunities, and providing interventions
  • Solid conflict management and decision-making skills
  • Excellent verbal, written, and interpersonal communication skills
  • Ability to work independently while balancing the needs of multiple projects
  • Ability to be flexible and adjust plans quickly to meet changing business needs
  • Intermediate Microsoft Office (Word, Excel, and Outlook) skills
  • Ability to exercise independent judgment and creative problem-solving techniques
  • FINRA registration including Series 65 or 66 (or FINRA recognized equivalents)

Nice to have:

  • FINRA registration including Series 65 or 66 (or FINRA recognized equivalents)
  • Intermediate Microsoft Office (Word, Excel, and Outlook) skills
  • Strong analytical skills including strategically analyzing data, diagnosing opportunities, and providing interventions
  • Excellent verbal, written, and interpersonal communication skills
  • Ability to exercise independent judgment and creative problem-solving techniques
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:
July 03, 2025

Expiration:
July 11, 2025

Employment Type:
Fulltime
Work Type:
On-site work
Job Link Share:
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