Supervisory Control Associate

Wells Fargo

. Provide direct support to branches and their remote compliance supervision responsibilities for PCG and WBS producing Branch Managers and Financial Advisors .

Posted 10/15/2026full-timeUnited StatesJuniorMid-Level💰 $68,000 - $114,000 per yearWebsite

About the role

Key responsibilities & impact

Provide direct support to branches and their remote compliance supervision responsibilities for PCG and WBS 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, operational, and best-practice reviews
Identify opportunities for additional synergies and maximize efficiencies
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
Receive management direction and exercise independent judgment

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
Ability to exercise independent judgment and creative problem-solving techniques
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 available to transfer upon hire
Appropriate FINRA licenses must be obtained and maintained for ongoing employment
Compliance with state law registration and licensing requirements is mandatory
Additional product or SAFE licensing may apply
Must meet enhanced financial fitness and criminal background standards
Must successfully complete FINRA background screening and a background check prior to hire
Must comply with ongoing regulatory obligations, including periodic screening and mandatory incident reporting
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