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Supervisory Control Specialist

United States, San Jose Employment contract 92000.00 - 145000.00 USD / Year · Job Posted July 05, 2026
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Job Description

Wells Fargo is seeking a Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management. In this role, you will: Participate and consult regarding policies and procedures, controls, tools and training; Identify opportunities for additional synergies and to maximize efficiencies within the private client group; Review and analyze controls to manage high risk investment strategies and complex products; Evaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancements; Present recommendations for resolving complex analysis in search of current and best practices; Gather and analyze data, identify trends and present analysis through meaningful statistics; Develop expertise in firm, compliance and regulatory policies and procedures; Collaborate and consult with Financial Advisors, Regional and more experienced Management, Private Client Group, Branch Managers, Operation Managers, Supervision Managers, and varying Business Units.

Job Responsibility

  • Participate and consult regarding policies and procedures, controls, tools and training
  • Identify opportunities for additional synergies and to maximize efficiencies within the private client group
  • Review and analyze controls to manage high risk investment strategies and complex products
  • Evaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancements
  • Present recommendations for resolving complex analysis in search of current and best practices
  • Gather and analyze data, identify trends and present analysis through meaningful statistics
  • Develop expertise in firm, compliance and regulatory policies and procedures
  • Collaborate and consult with Financial Advisors, Regional and more experienced Management, Private Client Group, Branch Managers, Operation Managers, Supervision Managers, and varying Business Units

Requirements

  • 2+ years of Supervisory Control, Corporate Insurance Risk, 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 66 examinations

Nice to have

  • 2+ years of financial services industry experience
  • Experience in compliance or broker-dealer governance
  • 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

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

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