About this role:
Wells Fargo is seeking a Supervisory Control Specialist to join our Client Relationship Group within the Branch Infrastructure and Operations group as part of Wealth & Investment Management. Learn more about the career areas and lines of business at www.wellsfargojobs.com
In this role, you will:
Required Qualifications:
Desired Qualifications:
Job Expectations:
Job Locations:
Wells Fargo is seeking a Supervisory Control Specialist to join our Client Relationship Group within the Branch Infrastructure and Operations group as part of Wealth & Investment Management. 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
- Identify opportunities for additional synergies and to maximize efficiencies within Integrated Brokerage
- 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 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
Desired Qualifications:
- Conflict management and decision-making skills
- Strong negotiation skills
- Intermediate Microsoft Office (Word, Excel, and Outlook) skills
- Excellent verbal, written, and interpersonal communication skills
- Ability to interact with all levels of branch associates and business units
- Strong attention to detail and accuracy skills
- Strong time management skills
- Strong research and documentation skills
- Ability to work independently while balancing the needs of multiple projects
- Ability to gather, organize, and interpret data
- FINRA registration including Series 66 (or FINRA recognized equivalents)
- FINRA registration including Series 9/10 (or FINRA recognized equivalents)
Job Expectations:
- US Only: Registration for FINRA Series 9/10 and Series 66 must be completed within a 90 or 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 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 may also be 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, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
- This position is not eligible for Visa sponsorship.
Job Locations:
- 2801 Market St., Saint Louis, Missouri 63103
- 550 S Tryon St., Charlotte, North Carolina 28202
- 550 S. 4th St., Minneapolis, Minnesota 55415
Top Skills
MS Office
Similar Jobs at Wells Fargo
Fintech • Financial Services
The role involves consulting on policies, managing risks, analyzing controls, and collaborating with financial advisors to enhance efficiency and compliance within the organization.
Top Skills:
MS Office
Fintech • Financial Services
The Supervisory Control Specialist will review policies, analyze controls, evaluate risks, and collaborate with various stakeholders to enhance process efficiency and compliance.
Top Skills:
Finra Series 63Finra Series 66Finra Series 7Finra Series 9/10MS Office
Fintech • Financial Services
The role entails evaluating financial reports to ensure compliance with regulations, providing supervisory oversight, and collaborating with various teams to mitigate risks while developing training materials.
Top Skills:
Finra 63Finra 66Finra 7Finra 9/10
What you need to know about the Los Angeles Tech Scene
Los Angeles is a global leader in entertainment, so it’s no surprise that many of the biggest players in streaming, digital media and game development call the city home. But the city boasts plenty of non-entertainment innovation as well, with tech companies spanning verticals like AI, fintech, e-commerce and biotech. With major universities like Caltech, UCLA, USC and the nearby UC Irvine, the city has a steady supply of top-flight tech and engineering talent — not counting the graduates flocking to Los Angeles from across the world to enjoy its beaches, culture and year-round temperate climate.
Key Facts About Los Angeles Tech
- Number of Tech Workers: 375,800; 5.5% of overall workforce (2024 CompTIA survey)
- Major Tech Employers: Snap, Netflix, SpaceX, Disney, Google
- Key Industries: Artificial intelligence, adtech, media, software, game development
- Funding Landscape: $11.6 billion in venture capital funding in 2024 (Pitchbook)
- Notable Investors: Strong Ventures, Fifth Wall, Upfront Ventures, Mucker Capital, Kittyhawk Ventures
- Research Centers and Universities: California Institute of Technology, UCLA, University of Southern California, UC Irvine, Pepperdine, California Institute for Immunology and Immunotherapy, Center for Quantum Science and Engineering
