Supervisory Control Specialist, Wells Fargo

Wells Fargo

Location:
United States, Saint Louis ▼
Charlotte

Category:
Finance

Contract Type:
Employment contract

Salary:

Not provided

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Job Description:

Wells Fargo is seeking a Supervisory Control Specialist 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:

Provide remote sales supervision and support for the WellsTrade, PCG, WBS, Institutional Retirement and Trust (IRT) channels
Support branch offices with on-going monitoring to ensure compliance with internal policies, applicable laws, and regulations
Participate and consult regarding policies and procedures, controls, tools and training
Identify issues and provide resolution within Wealth Brokerage Service or Private Client Groups
Assist with oversight of branch risk management
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 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
Ability to navigate multiple computer systems, applications, and utilize search tools to find information
Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
Basic Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
Strong attention to detail and accuracy skills
Solid conflict management and decision-making skills
Ability to interact with all levels of branch associates and business units

Nice to have:

FINRA registration including Series 66 (or FINRA recognized equivalents)
Provide training, coaching, and quality assurance for all new hires on the team

Additional Information:

Job Posted:
September 13, 2025

Expiration:
September 21, 2025

Employment Type:

Fulltime

Work Type:

On-site work

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Supervisory Control Specialist