Supervisory Control Associate

Wells Fargo

. Perform compliance supervision of suitability of new accounts opened by Private Client Group, 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

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Demonstrates expertise in compliance supervision, risk management, and regulatory reviews within the financial services sector. Proficient in utilizing analytical skills and technological tools to ensure adherence to policies and enhance operational efficiency.

Highest-signal resume keywords

Compliance SupervisionRisk Management ConsultingFINRA Series 7FINRA Series 63Analytical Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Supervisory ControlRegulatory ReviewsProject ManagementConflict ManagementDecision-MakingCreative Problem-SolvingSales Activity ReviewOperational ReviewsInsurance Brokerage ExperienceIntermediate Microsoft Office Skills

Soft Skills

Verbal CommunicationWritten CommunicationInterpersonal CommunicationIndependent JudgmentFlexibility

Tools & Technologies

Technological ToolsReports for ComplianceMicrosoft WordMicrosoft ExcelMicrosoft Outlook

Certifications & Qualifications

FINRA Series 66FINRA Series 9/10SAFE Licensing

Industry Keywords

Private Client GroupWealth Brokerage ServicesInsuranceRegulatory ObligationsState Law RegistrationFinancial AdvisorsBranch ManagersMarket Administration ManagementEnhanced Financial FitnessCriminal Background Standards

About the role

Key responsibilities & impact

Perform compliance supervision of suitability of new accounts opened by Private Client Group, 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 issues and provide resolution within Insurance or Private Client Groups
Perform ongoing regulatory, compliance, and operational reviews
Identify best practices and opportunities for synergies and efficiency
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

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
US Only: Successfully completed FINRA Series 7 and 63 examinations, or FINRA-recognized equivalents, sufficient to qualify for immediate FINRA registration
Strong analytical skills
Solid conflict management and decision-making skills
Excellent verbal, written, and interpersonal communication skills
Ability to work independently while balancing multiple projects
Ability to be flexible and adjust plans quickly
Intermediate Microsoft Office skills, including Word, Excel, and Outlook
Independent judgment and creative problem-solving skills
Ability to interact with branch associates and business units, including managers and advisors
FINRA registration, including Series 66, is desired
FINRA registration, including Series 9/10, is desired
Registration for FINRA Series 9/10 and 65 or 66 must be completed within 90 or 180 days if not immediately transferable upon hire
Appropriate FINRA licenses must be obtained and maintained for ongoing employment
Compliance with state law registration and licensing requirements is mandatory
May require specific product licenses or SAFE licensing
Must meet enhanced financial fitness and criminal background standards
Must successfully complete FINRA background screening before hire
Must comply with ongoing regulatory obligations, including periodic screening and mandatory reporting
Position is not eligible for Visa sponsorship

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