Supervisory Control Specialist

Wells Fargo

. Perform enhanced risk-based reviews of Structured Products, Options, and other complex investment products and strategies .

Posted 10/14/2026full-timeUnited StatesJuniorMid-Level💰 $77,000 - $133,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in Risk Management, particularly in Structured Products and Options Trading, while ensuring compliance with regulatory standards. Strong analytical and communication skills are essential for collaborating with Financial Advisors and management to enhance operational efficiency.

Highest-signal resume keywords

Risk Management ConsultingFINRA Series 7, 9/10, 63, 65Options TradingStructured ProductsAnalytical Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Risk-Based ReviewsSuitability AnalysisData AnalysisFinancial DocumentationMarket Linked InvestmentsAlternative InvestmentsRegulatory ComplianceProcess ImprovementTransaction Suitability EvaluationAdvanced Excel Functionality

Soft Skills

Verbal CommunicationWritten CommunicationInterpersonal SkillsConflict ResolutionCritical Thinking

Tools & Technologies

Microsoft Office

Certifications & Qualifications

FINRA Supervisory LicenseFINRA Series 4 (Desired)

Industry Keywords

Retail Brokerage OperationsFinancial AdvisorBranch ManagerPrivate Client GroupCompliance Standards

About the role

Key responsibilities & impact

Perform enhanced risk-based reviews of Structured Products, Options, and other complex investment products and strategies
Assess the quality and completeness of Financial Advisor and Branch Manager suitability analyses and documentation
Serve as a subject matter expert for Financial Advisors, field leadership, and regional management
Provide guidance and credible challenge during review and pre-approval processes for higher-risk investment products and strategies
Participate and consult regarding policies, procedures, controls, tools, and training
Identify opportunities for synergies and efficiency improvements within the private client group
Review and analyze controls for high-risk investment strategies and complex products
Evaluate resources to monitor risk and guide process changes, process improvements, and technology enhancements
Present recommendations for resolving complex analysis using 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 with Financial Advisors, regional and senior management, Private Client Group, Branch Managers, Operations Managers, Supervision Managers, and business units
Perform risk-based suitability analysis of Financial Advisor documentation and client contact
Conduct reviews based on established criteria and thresholds
Review transaction suitability based on likely product performance in positive and negative market scenarios
Evaluate whether less complex products could achieve the client’s objective
Evaluate whether yield justified risk to principal
Review options agreements for regulatory and compliance adherence
Evaluate product placement and client understanding of potential risks and rewards

Requirements

What you’ll need

2+ years of Supervisory Control, Corporate Insurance Risk, 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, 9/10 (or 24 where applicable), and 63, or FINRA recognized equivalents, sufficient to qualify for immediate FINRA registration
Successfully completed FINRA Series 65 (or 66), or FINRA recognized equivalents, sufficient to qualify for immediate FINRA registration
Knowledge of Options Trading, Structured and Complex Products, Market Linked Investments, and Alternative Investments
Strong analytical, research, and documentation skills
Understanding of retail brokerage operations, products, and industry trends
Excellent verbal, written, and interpersonal communication abilities
Ability to collaborate and influence stakeholders across all levels
Strong conflict resolution, critical thinking, and decision-making skills
Ability to manage multiple priorities in a fast-paced, deadline-driven environment
Strong organizational and time-management skills
Proficiency with Microsoft Office applications, including advanced Excel functionality
FINRA registration including Series 4 is desired
FINRA supervisory license required
Must successfully complete FINRA background screening and pass a background check prior to hire
Must meet ongoing regulatory obligations, including periodic screening and mandatory reporting
Not eligible for Visa sponsorship
Compliance with state law registration and licensing requirements is mandatory
Enhanced financial fitness and criminal background standards apply

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