About this role:
Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Centralized Review Team. In this position, you will partner closely with Financial Advisors and serve as a Qualified Supervisor, evaluating customized and consolidated reports submitted by FAs to ensure alignment with regulatory standards and firm policies. This role demands exceptional attention to detail, strong decision‑making skills, and a solid understanding of supervisory responsibilities.
You will be responsible for completing daily supervisory reviews and providing support on high‑risk initiatives and approvals that undergo elevated regulatory and supervisory oversight. Success in this role requires accountability, flexibility, and the ability to navigate a fast‑paced, risk‑driven environment. The ideal candidate is a proactive self‑starter who takes full ownership of assignments, follows through with minimal direction, and adjusts quickly as priorities shift.
In this role you will:
Serve as the Qualified Supervisor for reviewing and approving FA generated Custom and Consolidated Reports along with reviewing any additional documentation material to support the Custom/Consolidated report.
Utilize firm systems and tools in support of the Custom and Consolidated Report review.
Collaborate with the Divisional Governance team members to ensure a consistent and efficient execution of Compliance and Risk policies and procedures relating to Custom and Consolidated report review.
Collaborate with supervision, legal, compliance, risk, WIM Centers of Excellence and leadership to identify risks and recommend solutions.
Review and identify risks and trends and recommend and implement controls to mitigate risks while leveraging solid understanding of the firm's policies and procedures.
Assist in developing reporting related to trends in Custom and Consolidated report submissions.
Identify training needs based on analysis as well as create and deliver training on an ongoing basis for field personnel as well as new hire team members.
Assist in maintaining Operating Policy & Procedure documentation for Custom and Consolidated Report Review.
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, and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
Desired Qualifications:
Financial services compliance experience
Strong analytical skills with high attention to detail and accuracy
Knowledge and understanding of Support Center model
Knowledge and understanding of regulatory compliance requirements surrounding broker dealer roles and FINRA rules
Supervision experience, preferably within Wells Fargo's Wealth and Investment Management (WIM) line of business
Strong client service skills
Strong verbal, written, and interpersonal communication skills
Leadership skills
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
Job Expectations:
This position requires flexibility to work adjusted or later hours, as needed, to support West Coast 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.
This position is not eligible for Visa sponsorship.
Job Location:
2801 Market St, F & L Bldg., Saint Louis, MO
1525 W W T Harris Blvd., Charlotte, NC
*Preferred location(s) listed above. Other locations within the Wells Fargo footprint may be considered. Relocation assistance is not available for this position.
