Supervisory Control Associate

Wells-Fargo; Minneapolis (MN); On-site; USD 75,000 - 114,000; Full time

Benefits offered by this job

Health benefits

401(k) Plan

Paid time off

Job summary

Wells Fargo Advisors seeks a Supervisory Control Associate to support remote supervision of PCG/WBS and WellsTrade activities, ensuring adherence to internal policies and regulatory standards. You will work with regional and branch staff to resolve issues and conduct routine compliance reviews.

Responsibilities include branch risk monitoring, client account approvals, and collaboration with advisors and managers to enhance control processes.

Qualifications

• 6+ months of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through work experience, training, military experience, or education.
• FINRA Series 7 and 63 examinations (or equivalents) required for immediate registration.

Responsibilities

• Provide remote supervision and support for WellsTrade, PCG, WBS, IRT channels and monitor branch offices for compliance with firm policies and regulations.
• Collaborate with branch staff to resolve issues and implement supervision policies.
• Conduct or participate in compliance, supervision, control reviews, and risk mitigation activities.
• Assist with field oversight of branch risk management and client account approvals.

Skills

Regulatory compliance

Risk analysis

Communication

Independent judgment

FINRA licensing

Collaboration

Microsoft Office

Tools

Microsoft Office

Job description

About this role:Wells Fargo Advisors (WFA) is seeking a Supervisory Control Associate 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. Learn more about the career areas and lines of business at www.wellsfargojobs.comIn this role, you will:Provide support to WFA Supervisory Control Specialists as neededProvide remote sales supervision and support for the WellsTrade, PCG, WBS, Institutional Retirement and Trust (IRT) channels and support branch offices with on-going monitoring to ensure compliance with internal policies, applicable laws, and regulationsWork closely with the regional and branch staff on compliance and supervision policies, practices, and resolution of issuesConduct certain client account approvalsParticipate or conduct compliance, supervision, control reviews, administration, and technologyDesign risk processes and provide project management supportIdentify issues and provide resolution within Wealth Brokerage Service or Private Client GroupsAssist with oversight of branch risk managementPerform basic or tactical ongoing regulatory, compliance and operational reviews as well as other duties related to best practices and opportunities for additional synergies to maximize efficienciesReceive direction from management and exercise independent judgment while developing an understanding of sales and other activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policiesCollaborate and consult with financial advisors, branch managers, supervisory principals, and other departments as needed.Complete other duties as assigned by the Supervision ManagerRequired Qualifications:6+ months of Supervisory Control, 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, educationUS Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registrationDesired Qualifications:Strong analytical skills including strategically analyzing data, diagnosing opportunities, and providing interventionsSolid conflict management and decision-making skillsExcellent verbal, written, and interpersonal communication skillsAbility to work independently while balancing the needs of multiple projectsAbility to be flexible and adjust plans quickly to meet changing business needsIntermediate Microsoft Office (Word, Excel, and Outlook) skillsAbility to exercise independent judgment and creative problem-solving techniquesAbility to interact with all levels of branch associates and business units; including managers and advisorsFINRA registration including Series 66 (or FINRA recognized equivalents)FINRA registration including Series 9/10 (or FINRA recognized equivalents)Job Expectations:US Only: Registration for FINRA Series 9/10 and 65 (or 66) must be completed within a 90 or 180-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.This position is not eligible for Visa sponsorship.Job Locations:550 S Tryon St. Charlotte, NC2801 Market St. F & L Bldg. Saint Louis, MO401 Las Colinas Blvd Bldg A., Irving, TX550 S 4th St. Minneapolis, MNPay Range:Charlotte, NC - $68,000.00 - $104,000.00 USD Annual *Salary range is determined by location of the jobSt. Louis, MO - $68,000.00 - $104,000.00 USD Annual *Salary range is determined by location of the jobIrving, TX - $68,000.00 - $104,000.00 USD Annual *Salary range is determined by location of the jobMinneapolis, MN - $75,000.00 - $114,000.00 USD Annual *Salary range is determined by location of the jobPay RangeReflected 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.$68,000.00 - $114,000.00BenefitsWells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.Health benefits401(k) PlanPaid time offDisability benefitsLife insurance, critical illness insurance, and accident insuranceParental leaveCritical caregiving leaveDiscounts and savingsCommuter benefitsTuition reimbursementScholarships for dependent childrenAdoption reimbursementPosting End Date:4 Sep 2026*Job posting may come down early due to volume of applicants.We Value Equal OpportunityWells 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 DisabilitiesTo request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.Drug and Alcohol PolicyWells 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.