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Wells Fargo

Senior Supervisory Control Specialist

Wells Fargo

Senior Supervisory Control Specialist ensuring compliance for financial advisors within Wealth and Investment Management. Engaging with business partners to provide solutions while mitigating risk.

Posted 6/5/2026full-timeSaint Louis • Arizona, Montana, North Carolina, Utah • 🇺🇸 United StatesSeniorWebsite

About the role

Key responsibilities & impact
  • Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations
  • Supervise the activities of representatives (e.g., financial advisors) to ensure compliance with FINRA and SEC rules and regulations
  • Implement and monitor policies and procedures
  • Provide regular reporting to Governance Leadership, Markets and Division
  • Make decisions and resolve issues regarding compliance, supervision policies, practices, hiring, disciplinary actions, and training
  • Monitor sales review activities and develop training plans within CRG

Requirements

What you’ll need
  • 4+ years of Supervisory Control, 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)
  • Successfully completed Financial Industry Regulatory Authority (FINRA) Series 66 examination (or FINRA recognized equivalents)

Benefits

Comp & perks
  • Health insurance
  • 401(k) matching
  • Flexible work hours
  • Paid time off
  • Professional development opportunities

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools
Supervisory ControlRisk Management ConsultingCompliance MonitoringPolicy ImplementationTraining DevelopmentSales Review Activities
Soft Skills
Decision MakingIssue ResolutionLeadershipCommunication
Certifications
FINRA Series 7FINRA Series 9FINRA Series 10FINRA Series 63FINRA Series 66