Supervisory Control Specialist

About this role:Wells Fargo is seeking a Supervisory Control Specialist to join the Client Relationship Group within the Centralized Supervision Ad Hoc team, part of Wealth & Investment Management. This role supports key supervisory and oversight functions and contributes to maintaining strong risk management and control practices across the organization. Learn more about the career areas and lines of business at In this role, you will:Perform reviews of Alternative Investments and Securities‑Based Lending productsParticipate in and provide consultation on policies, procedures, controls, tools, and trainingIdentify opportunities to enhance efficiencies and drive synergies within Integrated BrokerageReview and analyze supervisory controls supporting high‑risk investment strategies and complex productsEvaluate resources used to monitor risk and exercise independent judgment to inform process improvements, process changes, and technology enhancementsDevelop and present recommendations to resolve complex issues, aligned with current and emerging best practicesGather and analyze data, identify trends, and present findings through meaningful metrics and statisticsBuild and maintain expertise in firm, compliance, and regulatory policies and proceduresCollaborate and consult with Financial Advisors, Regional and Senior Management, Private Client Group, Branch Managers, Operations Managers, Supervision Managers, and cross‑functional Business UnitsRequired Qualifications: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, educationUS 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:Knowledge of Alternative Investments and Security-backed Lending productsAbility to navigate complex scenarios and nuanced regulatory considerationsDemonstrated ability to manage a high‑volume workload in a fast‑paced environmentStrong time management and organizational skills with the ability to prioritize competing deadlinesEffective conflict management and sound decision‑making capabilitiesStrong negotiation and influencing skillsIntermediate proficiency in Microsoft Office (Word, Excel, and Outlook)Excellent verbal, written, and interpersonal communication skillsAbility to effectively interact with all levels of branch associates and business unitsHigh level of attention to detail and accuracyStrong research, documentation, and analytical skillsAbility to work independently while balancing multiple projects and prioritiesAbility to gather, organize, analyze, and interpret data to support risk and oversight activitiesJob Expectations:US Only: Registration for FINRA Series 66 must be completed within a 90 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.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 processThis position is not eligible for Visa sponsorship.Ability to travel*** For this position the Series 9/10 are the only principal licenses required. The series 24 is not required.Job Locations: 2801 Market Street, Saint Louis, Missouri 63103550 S Tryon St., Charlotte, North Carolina 28202550 S. 4th St., Minneapolis, Minnesota 55415Pay 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.$77,000.00 - $133,000.00Benefits 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 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:15 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.SummaryLocation: SAINT LOUIS, MO; CHARLOTTE, NC; MINNEAPOLIS, MNType: Full time