Senior Supervisory Control Specialist - Centralized Review Team

Senior Supervisory Control Specialist

Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Centralized Review Team. In this role, you will serve as a key partner to Financial Advisors and act as a Qualified Supervisor, reviewing advisor-submitted customized and consolidated reporting materials, Strategic Planning Services (SPS) engagements, and other assigned submissions in accordance with firm policies, regulatory requirements, and supervisory standards. The role is responsible for executing daily supervisory reviews and supporting high-risk initiatives and approvals subject to heightened regulatory and supervisory scrutiny. In this role, you will:

• Serve as the Qualified Supervisor responsible for reviewing and approving FA-generated Custom and Consolidated Reports, including all supporting and supplemental documentation.
• Conduct supervisory reviews of Strategic Planning Services (SPS) engagements, ensuring appropriate documentation, disclosures, and supervisory requirements have been satisfied.
• Utilize firm systems and tools to conduct thorough, compliant supervisory reviews.
• Collaborate with Governance team members and the field to ensure consistent and efficient execution of Compliance and Risk policies and procedures.
• Act as a subject matter expert for Consolidated Reports and Strategic Planning Services, providing guidance to the field to drive compliant outcomes and manage regulatory risk.
• Provide centralized Qualified Supervisor approval for all Requests for Proposals (RFPs) in Red Oak, ensuring documentation is complete, appropriate approvals have been obtained, and all firm, compliance, and regulatory requirements are satisfied.
• Partner with the field to guide stakeholders to appropriate solutions, leveraging a strong understanding of disclosure requirements and supervisory expectations to ensure compliance with firm and regulatory standards.
• Partner with Supervision, Legal, Compliance, Risk, Product, and leadership teams to identify risks, escalate issues as appropriate, and recommend solutions.
• Review activity to identify emerging risks and trends and recommend and implement controls to mitigate risk, leveraging a strong understanding of firm policies and procedures.
• Support governance initiatives related to Strategic Planning Services, including process enhancements, supervisory guidance, training materials, and risk mitigation efforts.
• Identify training needs based on analysis, review findings, and trends, and create and deliver ongoing training to field personnel to reinforce expectations and promote risk awareness.

Required Qualifications:

• 4+ years 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, education US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10 (or 24 where applicable), and 63 (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• Demonstrated experience in financial services compliance and supervision, with the ability to apply risk?based decision making in alignment with firm and regulatory expectations
• Strong analytical and critical?thinking skills, with high attention to detail, accuracy, and sound judgment
• Solid knowledge of broker?dealer regulatory requirements, including FINRA rules, and the ability to interpret and apply policy in complex scenarios
• Supervisory experience, preferably within Wells Fargo Wealth and Investment Management (WIM), with accountability for review, approval, and risk escalation
• Ability to identify, assess, and mitigate risk, and guide stakeholders to compliant solutions consistent with firm standards
• Demonstrated ability to execute with discipline, manage competing priorities, and deliver results in a dynamic, risk?focused environment
• Strong collaboration and influence skills, with the ability to partner effectively with field leadership, advisors, and control functions
• Excellent verbal, written, and interpersonal communication skills, including the ability to clearly articulate risk, requirements, and decisions
• Technology?savvy, with strong proficiency in Microsoft Excel and other tools used for analysis, reporting, and supervisory tracking
• Broad knowledge of financial services products and services, including brokerage, advisory, banking, retirement, insurance, and alternative investment offerings
• Experience or knowledge of wealth management and financial planning tools such as Advisor Gateway and eMoney

Job Expectations:

• This position may require flexibility to work adjusted hours, as needed, to support business operations 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 is 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. Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process This position is not eligible for Visa sponsorship. ****For this position the Series 9/10 are the only principal licenses required. The series 24 is not required.****

Job Location:

• 2801 Market St., Saint Louis, Missouri 63103
• 1525 W W T Harris Blvd., Charlotte, North Carolina 28262-8522
• 550 S Tryon St., Charlotte, North Carolina 28202-1675
• 5201 W Amelia Earhart Dr., Salt Lake City, Utah 84116
• 550 S 4th St., Minneapolis, Minnesota 55415
• * Preferred location(s) listed above. Select locations within the Wells Fargo Client Relationship Group Divisional footprint may be considered for current Wells Fargo employees. Relocation assistance is not available for this position.

Pay Range: Minneapolis, MN - $96,000.00 - $154,000.00 USD Annual *Salary range is determined by location of the job Pay Range Reflected 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. $87,000.00 - $154,000.00

Benefits:

• Wells 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 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

We Value Equal Opportunity:

Wells 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.