Supervisory Control Specialist

About this role:

Wells Fargo is seeking a Supervisory Control Specialist to join our Asset Movement and Principal Review Oversight team within Wealth & Investment Management (WIM). This position plays a critical role in supporting the team’s responsibilities related to multiple oversight and testing activities—including Internal Audit, Branch Exams, and IT&V. As an Office of Supervisory Jurisdiction (OSJ), the team undergoes extensive review, and this role helps ensure readiness, accuracy, and strong control execution throughout those engagements.  Learn more about the career areas and business divisions at .

In this role, you will:

• Participate and consult regarding policies and procedures, controls, tools and training

• Identify opportunities for additional synergies and to maximize efficiencies within the private client group

• Review and analyze controls to manage high risk investment strategies and complex products

• Evaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancements

• Present recommendations for resolving complex analysis in search of current and best practices

• Gather and analyze data, identify trends and present analysis through meaningful statistics

• Develop expertise in firm, compliance and regulatory policies and procedures

• Collaborate and consult with Financial Advisors, Regional and more experienced

• Management, Private Client Group, Branch Managers, Operation Managers, Supervision Managers, and varying Business Units

Required 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, 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:

• Financial services compliance experience

• Knowledge and understanding of Asset Movement and New Account Opening related activities

• Experience creating reports in response to management, audit, or regulatory requirements 

• Knowledge and understanding of financial industry trends

• Experience with governance and oversight requirements for regulatory and risk reporting

• Client account dashboard experience

• Experience reviewing testing strategies and methodologies; evaluating the adequacy and effectiveness of policies, procedures, processes, initiatives, products, and internal controls; and identifying issues resulting from internal and/or external compliance examinations

• Ability to interact with all levels of branch associates and business units; including managers and advisors

• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment

• Ability to perform extensive research and reviews

• Excellent verbal, written, and interpersonal communication skills

• FINRA registration including Series 66 (or FINRA recognized equivalents)

Job Expectations:

• Ability to travel up to 25 percent of the time

• US Only: Registration for FINRA Series 66 must be completed within a 90 - 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 Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition, state registration, 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 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. Registration for FINRA Series 65 or 66 must be completed prior to conducting Investment Advisory business.

• 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.

• 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

****For this position the Series 9/10 are the only principal licenses required. The series 24 is not required.****

Job Posting Location:

• 2801 Market St. F & L Bldg., St. Louis, MO

Posting End Date:

*Job posting may come down early due to volume of applicants.

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.

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.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit  Disability Inclusion at Wells Fargo .

Drug and Alcohol Policy

Wells 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.