Supervisory Control Manager

Wells Fargo

Supervisory Control Manager overseeing Wells Fargo Advisors branch operations and regulatory compliance. Leading supervisory reviews, associates, escalations, and risk controls across the San Diego Market.

Posted 8/7/2026full-timeSan Diego • California • 🇺🇸 United StatesMid-LevelSenior💰 $120,000 - $196,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive experience in Supervisory Control, Risk Management, and Compliance within the financial services sector, with a strong focus on leadership, client service, and regulatory adherence. Proficient in managing teams, conducting supervisory reviews, and ensuring operational efficiency.

Highest-signal resume keywords

Supervisory ControlRisk ManagementFINRA Series 7 LicenseFINRA Supervisory LicenseLeadership Experience

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Risk Management ConsultingInsurance BrokerageSupervisory ReviewsComplex Transaction ProcessingRegulatory Compliance

Soft Skills

Client Service SkillsAttention to DetailOrganizational SkillsMulti-tasking SkillsCommunication Skills

Certifications & Qualifications

FINRA Series 7FINRA Series 9/10FINRA Series 63

Industry Keywords

Financial ServicesBranch Office ManagementCompliance ProgramsGovernanceEscalation Procedures

About the role

Key responsibilities & impact

Oversee the day-to-day administrative functioning of branch offices within the Market
Provide supervisory oversight of Registered and Unregistered Associates assigned to the Market
Partner with Market Leadership Management, Operations, Risk, Compliance, and Sales teams to meet firm and regulatory requirements
Recruit, train, and manage assigned direct reports
Ensure completion of daily, weekly, monthly, and quarterly supervisory reviews and tasks
Report findings for review, escalation, and final resolution
Act as liaison for home office escalations, inquiries, and initiatives
Serve as liaison and escalation point for support areas
Explain policies and procedures to branch employees and ensure adherence
Support Wells Fargo's risk, compliance, monitoring, governance, and escalation programs

Requirements

What you’ll need

5+ years of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through work experience, training, military experience, or education
2+ years of leadership experience
Successfully completed FINRA Series 7, 9/10 (or 24 where applicable), and 63, or recognized equivalents, sufficient for immediate FINRA registration
Series 9/10 are the only principal licenses required; Series 24 is not required
FINRA supervisory license required
Ability to travel up to 25% of the time
Ability to work in the assigned office location for at least one year from the hire date may be required
Must successfully complete and pass a background check prior to hire
Must meet FINRA background screening, statutory eligibility, ongoing regulatory, and financial fitness requirements
Must comply with state law registration and licensing requirements
Strong client service skills
Strong attention to detail and accuracy skills
Effective organizational, multi-tasking, and prioritizing skills
Strong verbal, written, and interpersonal communication skills
Ability to provide leadership to a financial services team
Ability to process complex transactions and conduct extensive research to resolve complex customer issues
Not eligible for Visa sponsorship

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
Incentive opportunities may be available