Supervisory Control Specialist

Wells Fargo

Supervisory Control Specialist managing compliance and risk strategies within Wells Fargo's Wealth and Investment Management. Collaborating with financial advisors and evaluating high-risk investment controls.

Posted 7/14/2026full-timeVirginia Beach • Virginia • 🇺🇸 United StatesJuniorMid-Level💰 $77,000 - $121,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in Risk Management, Compliance, and Regulatory Policies while effectively collaborating with diverse teams to implement process improvements and technology enhancements. Proven ability to analyze complex data, identify trends, and present actionable recommendations to stakeholders.

Highest-signal resume keywords

Risk Management ConsultingFINRA Series 7, 9/10, and 66Supervisory ControlCompliance GovernanceData Analysis

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Risk ManagementData AnalysisProcess ImprovementFinancial AnalysisRegulatory Compliance

Soft Skills

Verbal CommunicationWritten CommunicationInterpersonal SkillsNegotiation SkillsDecision Making

Certifications & Qualifications

FINRA Series 7FINRA Series 9/10FINRA Series 66

Industry Keywords

Financial ServicesInsurance BrokerageCorporate Insurance RiskProperty InsuranceCasualty Insurance

About the role

Key responsibilities & impact

Participate and consult regarding policies and procedures, controls, tools and training
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, Divisional and more experienced Management, Market Leaders, Growth Leaders, Branch Managers, Supervision Managers, and varying Business Units

Requirements

What you’ll need

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 (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
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
2+ years of financial services industry experience
Experience in compliance or broker-dealer governance

Benefits

Comp & perks

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