Supervisory Control Specialist

Wells Fargo

. Participate and consult regarding policies, procedures, controls, tools, and training .

Posted 10/21/2026full-timeUnited StatesJuniorMid-Level💰 $85,000 - $145,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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

Demonstrates expertise in risk management, compliance, and regulatory policies within the financial services industry, with a strong ability to analyze data, identify trends, and implement process improvements. Proven skills in collaboration with various stakeholders to resolve complex issues and enhance operational efficiencies.

Highest-signal resume keywords

FINRA Series 7, 9/10, 63Risk Management ConsultingCompliance ExperienceSupervisory Control ExperienceFinancial Services Industry Experience

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Risk AnalysisData AnalysisProcess ImprovementPolicy DevelopmentControl ReviewInvestment Strategy EvaluationRegulatory ComplianceRisk Program ExecutionStatistical AnalysisDecision-Making

Soft Skills

Excellent Communication SkillsNegotiating SkillsConflict ManagementIndependent JudgmentInitiative

Certifications & Qualifications

FINRA Supervisory LicenseFINRA Background Check

Industry Keywords

Private Client GroupCorporate Insurance RiskBroker-Dealer GovernanceInsurance BrokerageProperty and Casualty Insurance

About the role

Key responsibilities & impact

Participate and consult regarding policies, procedures, controls, tools, and training
Identify opportunities for synergies and maximize efficiencies 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 experienced Management, Private Client Group, Branch Managers, Operation Managers, Supervision Managers, and various Business Units
Execute applicable risk programs and fulfill risk and compliance obligations
Monitor, identify, escalate, and remediate risk and compliance issues
Make sound risk decisions aligned with business-unit risk appetite and program requirements

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
2+ years of financial services industry experience
Experience in compliance or broker-dealer governance
Experience partnering with business, compliance, and supervision partners to address concerns, resolve complex issues, and provide solutions
Ability to exercise independent judgment to identify and resolve problems
Ability to interact with all levels of employees and management across the organization and Independent Offices
Excellent verbal, written, and interpersonal communication skills
Negotiating, conflict-management, and decision-making skills
Ability to take initiative, work independently, identify opportunities, and implement change
Ability to manage multiple and competing priorities
FINRA supervisory license required for ongoing employment
Compliance with state law registration and licensing requirements is mandatory
Candidates must successfully complete a FINRA background check prior to hire
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

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