Supervisory Control Specialist

Wells Fargo • Philadelphia, PA

7d • Onsite

About The Position

Wells Fargo is seeking a Supervisory Control Specialist to join its Client Relationship Group (CRG) within Wealth and Investment Management. The role focuses on reviewing and improving supervisory controls for high-risk investment strategies and complex products, managing risk, and supporting compliance with firm, regulatory, and compliance policies and procedures. The specialist works with Financial Advisors, management, Market Leaders, Growth Leaders, Branch Managers, Supervision Managers, and business units.

The position requires appropriate FINRA supervisory licensing and compliance with state registration and licensing requirements. The role may require working from the assigned office location for at least one year after hire, and travel may be up to 25% of the time. The position is not eligible for visa sponsorship and is subject to FINRA background screening and ongoing regulatory obligations. For this position, Series 9/10 are the only principal licenses required; Series 24 is not required.

Requirements

• At least 2 years of experience in Supervisory Control, Corporate Insurance Risk, Risk Management Consulting, Property or Casualty Insurance, or Insurance Brokerage, or equivalent demonstrated through work experience, training, military experience, or education.
• Successfully completed FINRA Series 7, 9/10, and 63 (or FINRA-recognized equivalents) sufficient to qualify for immediate FINRA registration. The posting specifies that Series 9/10 are the only principal licenses required and Series 24 is not required.
• Ability to obtain and/or maintain appropriate FINRA licenses and meet state registration and licensing requirements.
• Ability to travel up to 25% of the time.
• Successful completion of the required FINRA background screening and other pre-hire background checks; ongoing regulatory obligations apply.
• This position is not eligible for visa sponsorship.

Nice To Haves

• Experience partnering with business, compliance, and supervision partners to address concerns, resolve complex issues, and provide solutions.
• Ability to exercise independent judgment to identify and resolve problems.
• Ability to interact with employees and management at all levels across the organization and Independent Offices.
• Excellent verbal, written, and interpersonal communication skills.
• Negotiating, conflict-management, and decision-making skills.
• Ability to take initiative, work independently, identify opportunities, and implement change.
• Ability to manage multiple and competing priorities.
• At least 2 years of financial services industry experience.
• Experience in compliance or broker-dealer governance.

Responsibilities

• Participate in and consult on policies, procedures, controls, tools, and training.
• Review and analyze controls for managing high-risk investment strategies and complex products.
• Evaluate resources for monitoring risk and use independent judgment to guide process changes, improvements, and technology enhancements.
• Present recommendations for resolving complex analyses and identifying 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, Divisional and more experienced Management, Market Leaders, Growth Leaders, Branch Managers, Supervision Managers, and varying Business Units.
• Travel up to 25% of the time.
• Maintain appropriate FINRA licenses and comply with state registration, licensing, and ongoing regulatory requirements.

What This Job Offers

• Job Type: Full-time
• Education Level: No Education Listed