Wealth Brokerage Compliance 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

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.