Supervisory Control Specialist

About this role:Wells Fargo is seeking a Supervisory Control Specialist to join our Client Relationship Group (CRG) within Wealth and Investment Management. Learn more about the career areas and lines of business at wellsfargojobs.com.In this role, you will:Participate and consult regarding policies and procedures, controls, tools and trainingReview and analyze controls to manage high risk investment strategies and complex productsEvaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancementsPresent recommendations for resolving complex analysis in search of current and best practicesGather and analyze data, identify trends and present analysis through meaningful statisticsDevelop expertise in firm, compliance and regulatory policies and proceduresCollaborate and consult with Financial Advisors, Divisional and more experienced Management, Market Leaders, Growth Leaders, Branch Managers, Supervision Managers, and varying 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 registrationDesired Qualifications:Experience partnering with business, compliance and supervision partners to address concerns, resolve complex issues and provide solutionsAbility to exercise independent judgment to identify and resolve problemsAbility to interact with all levels of employees and management across the organization and Independent OfficesExcellent verbal, written, and interpersonal communication skillsNegotiating, conflict-management, and decision making skillsAbility to take initiative, work independently, identify opportunities, and implement changeAbility to manage multiple and competing priorities2+ years of financial services industry experienceExperience in compliance or broker-dealer governanceJob Expectations: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 requiredAbility to travel up to 25 percent of the timeThis 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 locationSpecific 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.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.****For this position the Series 9/10 are the only principal licenses required. The series 24 is not required.****Job Location:6390 Main Street - Buffalo, New York 142214 Tower Pl - Albany, New York 12203500 Plum S, Bridgewater St - Syracuse, New York 132042430 N Triphammer Rd - Ithaca, New York 14850Pay 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.$85,000.00 - $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:21 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: SYRACUSE, NY; BUFFALO, NY; ALBANY, NY; ITHACA, NYType: Full time