Supervisory Control Specialist

About this role:

Wells Fargo is seeking a Supervisory Control Specialist to join the Client Relationship Group within Wealth and Investment Management. This role serves as a Qualified Supervisor on a Central Governance Team. Primary responsibilities will include providing governance oversight for Financial Advisors managing high and ultra-high net worth client relationships and Global Pre-Clearance first-line approvals. Additional responsibilities may include supporting key functions such as FA Book Reassignments, Complaint Reviews, and Email Surveillance. Learn more about the career areas and lines of business at www.wellsfargojobs.com

In this role, you will:

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

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, Divisional and more experienced Management, Market Leaders, Growth Leaders, Branch 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, and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

2+ years of financial services industry experience

Experience in compliance or broker-dealer governance

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 all levels of employees and management 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

Job 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 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:

550 S Tryon St., Charlotte, NC 28202

5201 W Amelia Earhart Dr., Salt Lake City, UT 84116

550 S 4th St., Minneapolis, MN 55415

2801 Market St, F & L Bldg., Saint Louis, MO 63103

8601 N Scottsdale Rd., Scottsdale, AZ 85253

Preferred location(s) listed above. Other locations within the Wells Fargo footprint may be considered. Relocation assistance is not available for this position.

Pay Range:

Charlotte, NC - $77,000.00 - $121,000.00 USD Annual Salary range is determined by location of the job

St. Louis, MO - $77,000.00 - $121,000.00 USD Annual Salary range is determined by location of the job

Salt Lake City, UT - $77,000.00 - $121,000.00 USD Annual Salary range is determined by location of the job

Scottsdale, AZ - $77,000.00 - $121,000.00 USD Annual Salary range is determined by location of the job

Minneapolis, MN - $85,000.00 - $133,000.00 USD Annual *Salary range is determined by location of the job

Pay Range

Reflected 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 - $133,000.00

Benefits

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 benefits

401(k) Plan

Paid time off

Disability benefits

Life insurance, critical illness insurance, and accident insurance

Parental leave

Critical caregiving leave

Discounts and savings

Commuter benefits

Tuition reimbursement

Scholarships for dependent children

Adoption reimbursement

Posting End Date:

3 Jul 2026

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

We Value Equal Opportunity

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 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.