About this role:

Wells Fargo is seeking a Supervisory Control Specialist to join the Client Relationship Group within the Centralized Supervision Ad Hoc team, part of Wealth & Investment Management. This role supports key supervisory and oversight functions and contributes to maintaining strong risk management and control practices across the organization.  Learn more about the career areas and lines of business at www.wellsfargojobs.com

In this role, you will:

• Perform reviews of Alternative Investments and Securities‑Based Lending products
• Participate in and provide consultation on policies, procedures, controls, tools, and training
• Identify opportunities to enhance efficiencies and drive synergies within Integrated Brokerage
• Review and analyze supervisory controls supporting high‑risk investment strategies and complex products
• Evaluate resources used to monitor risk and exercise independent judgment to inform process improvements, process changes, and technology enhancements
• Develop and present recommendations to resolve complex issues, aligned with current and emerging best practices
• Gather and analyze data, identify trends, and present findings through meaningful metrics and statistics
• Build and maintain expertise in firm, compliance, and regulatory policies and procedures
• Collaborate and consult with Financial Advisors, Regional and Senior Management, Private Client Group, Branch Managers, Operations Managers, Supervision Managers, and cross‑functional Business Units

Required Qualifications:

• 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
• US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10 (or 24 where applicable), and 63 (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

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Desired Qualifications:

• Knowledge of Alternative Investments and Security-backed Lending products
• Ability to navigate complex scenarios and nuanced regulatory considerations
• Demonstrated ability to manage a high‑volume workload in a fast‑paced environment
• Strong time management and organizational skills with the ability to prioritize competing deadlines
• Effective conflict management and sound decision‑making capabilities
• Strong negotiation and influencing skills
• Intermediate proficiency in Microsoft Office (Word, Excel, and Outlook)
• Excellent verbal, written, and interpersonal communication skills
• Ability to effectively interact with all levels of branch associates and business units
• High level of attention to detail and accuracy
• Strong research, documentation, and analytical skills
• Ability to work independently while balancing multiple projects and priorities
• Ability to gather, organize, analyze, and interpret data to support risk and oversight activities

Job Expectations:

• US Only: Registration for FINRA Series 66 must be completed within a 90 day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance.
• US Only: 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. In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required.
• This role requires a FINRA supervisory license and may require working in the assigned office location for at least one year from the hire date. Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section 14 regulatory questions/disclosures, will be ineligible to work from a location other than their assigned office location.
• This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process
• This position is not eligible for Visa sponsorship.
• Ability to travel

*** For this position the Series 9/10 are the only principal licenses required. The series 24 is not required.

Job Locations:

• 2801 Market Street, Saint Louis, Missouri 63103
• 550 S Tryon St., Charlotte, North Carolina 28202
• 550 S. 4th St., Minneapolis, Minnesota 55415

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.

Posting End Date:

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.