Supervisory Control Manager

Wells Fargo

. Oversee the day-to-day administrative functioning of branch offices within the Market .

Posted 10/26/2026full-timeUnited StatesMid-LevelSeniorWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive experience in Supervisory Control and Risk Management, with a strong focus on compliance and regulatory requirements. Proven ability to lead teams, manage personnel, and ensure adherence to policies and procedures within the insurance brokerage sector.

Highest-signal resume keywords

Supervisory ControlRisk Management ConsultingFINRA Series 7, 9/10, and 63FINRA Supervisory LicenseLeadership Experience

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Risk IdentificationGovernanceProactive MonitoringSupervisory ReviewsRegulatory Compliance

Soft Skills

Team ManagementCommunicationProblem SolvingTrainingLiaison Skills

Certifications & Qualifications

FINRA Series 7FINRA Series 9FINRA Series 10FINRA Supervisory License

Industry Keywords

Insurance BrokerageProperty InsuranceCasualty InsuranceRegulatory ObligationsBackground Screening

About the role

Key responsibilities & impact

Oversee the day-to-day administrative functioning of branch offices within the Market
Provide supervisory oversight of Registered and Unregistered Associates assigned to the Market
Partner with Market Leadership, Operations, Risk, Compliance, and Sales Teams to ensure firm and regulatory requirements are met
Recruit, train, and manage direct-report personnel
Ensure direct reports complete supervisory reviews and tasks on daily, weekly, monthly, and quarterly cycles
Report findings for review, escalation, and final resolution
Act as liaison for home-office escalations, inquiries, and initiatives
Serve as liaison and escalation point for support areas
Explain policies and procedures to branch employees and ensure adherence
Support risk programs, proactive monitoring, governance, risk identification, escalation, remediation, and sound risk decisions

Requirements

What you’ll need

5+ years of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through work experience, training, military experience, or education
2+ years of leadership experience
Successfully completed FINRA Series 7, 9/10, and 63, or FINRA-recognized equivalents, sufficient to qualify for immediate FINRA registration
FINRA supervisory license required
Ability to travel up to 25% of the time
Ability to obtain and/or maintain appropriate FINRA licenses for ongoing employment
Compliance with state law registration and licensing requirements
Successful completion of FINRA background screening and pre-hire background check
Must meet ongoing regulatory obligations, including periodic screening and mandatory reporting
Must meet enhanced financial fitness and criminal background standards
Not eligible for visa sponsorship
Series 9/10 are the only principal licenses required; Series 24 is not required

Benefits

Comp & perks

Equal opportunity employment
Drug-free workplace
Medical accommodation during the application or interview process
No relocation assistance is available