Supervisory Control Associate

Wells Fargo

. Perform compliance supervision of suitability for new accounts opened by Private Client Group and Wealth Brokerage Services producing branch managers and financial advisors .

Posted 10/30/2026full-timeUnited StatesJuniorMid-Level💰 $68,000 - $114,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in compliance supervision, risk management, and regulatory reviews within the financial services sector. Proficient in utilizing technological tools for compliance monitoring and project management while maintaining strong communication and analytical skills.

Highest-signal resume keywords

Compliance SupervisionRisk Management ConsultingFINRA Series 7FINRA Series 63Microsoft Office

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Supervisory ControlRegulatory ReviewsProject ManagementConflict ManagementCreative Problem-Solving

Soft Skills

Analytical SkillsDecision-MakingVerbal CommunicationWritten CommunicationInterpersonal Communication

Tools & Technologies

Technological ToolsCompliance Reports

Certifications & Qualifications

FINRA Series 9/10FINRA Series 65FINRA Series 66

Industry Keywords

Private Client GroupWealth Brokerage ServicesInsurance BrokerageFinancial AdvisorsRisk Decisions

About the role

Key responsibilities & impact

Perform compliance supervision of suitability for new accounts opened by Private Client Group and Wealth Brokerage Services producing branch managers and financial advisors
Participate in or conduct compliance, supervision, control reviews, administration, and technology activities
Design risk processes and provide project management support
Identify and resolve issues within Insurance or Private Client Groups
Perform ongoing regulatory, compliance, and operational reviews
Identify best practices and opportunities for synergies and efficiency improvements
Use technological tools and reports to review sales activities for compliance with regulatory and firm policies
Collaborate and consult with financial advisors, branch managers, supervisory principals, and Market Administration Management
Follow Wells Fargo risk and compliance programs, escalate and remediate issues, and make sound risk decisions

Requirements

What you’ll need

6+ months of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through work experience, training, military experience, or education
Successfully completed FINRA Series 7 and 63 examinations, or FINRA-recognized equivalents, sufficient to qualify for immediate FINRA registration
FINRA registration and licensing requirements, including applicable state registration and licensing requirements
FINRA Series 9/10 and 65 (or 66) registration must be completed within 90 or 180 days if not immediately available to transfer upon hire
Must meet enhanced financial fitness and criminal background standards
Must successfully complete FINRA background screening and ongoing regulatory obligations
Not eligible for Visa sponsorship
Intermediate Microsoft Office skills, including Word, Excel, and Outlook
Strong analytical, conflict management, decision-making, verbal, written, and interpersonal communication skills
Ability to work independently, balance multiple projects, adjust plans quickly, exercise independent judgment, and use creative problem-solving
Ability to interact with branch associates, managers, advisors, and business units

Benefits

Comp & perks

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
Incentive opportunities may be available