Supervisory Control Associate, Wells Fargo

Wells Fargo

Location:
United States, Charlotte ▼
Minneapolis
Saint Louis

Category:
Finance

Contract Type:
Employment contract

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

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Supervisory Control Associate