Supervisory Control Specialist – FiNet

Wells Fargo

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

Posted 10/27/2026full-timeUnited StatesJuniorMid-LevelWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in Risk Management, Compliance, and Regulatory Policies while effectively collaborating with various stakeholders. Proficient in analyzing data to identify trends and present actionable recommendations for process improvements and efficiencies.

Highest-signal resume keywords

FINRA Series 7 LicenseFINRA Series 63 RegistrationFINRA Supervisory LicenseRisk Management Consulting ExperienceCompliance with State Law Registration

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Data AnalysisRisk AssessmentProcess ImprovementControl EvaluationFinancial Analysis

Soft Skills

Conflict ManagementDecision-MakingNegotiation SkillsAttention to DetailTime Management

Tools & Technologies

Microsoft Office

Certifications & Qualifications

FINRA Series 9/10 LicenseFINRA Series 65 or 66 Registration

Industry Keywords

Supervisory ControlCorporate Insurance RiskProperty InsuranceCasualty InsuranceInsurance Brokerage

About the role

Key responsibilities & impact

Participate and consult regarding policies, procedures, controls, tools, and training
Identify opportunities for synergies and maximize efficiencies within Wells Fargo Advisors Financial Network
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, Client Associates, Branch Managers, Operation Managers, Supervision Managers, and business units

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 (US only)
FINRA supervisory license required
FINRA Series 65 or 66 registration required within 90 or 180 days if not immediately transferable
Appropriate FINRA licenses must be obtained and maintained for ongoing employment
Compliance with state law registration and licensing requirements
Additional product licenses or SAFE licensing may apply
Enhanced financial fitness and criminal background standards
Successful completion of FINRA background screening before hire
Must meet ongoing regulatory obligations, including periodic screening and mandatory reporting
Must successfully complete a background check prior to hire
Position is not eligible for visa sponsorship
Desired: Conflict management and decision-making skills
Desired: Intermediate Microsoft Office skills
Desired: Strong negotiation skills
Desired: Excellent verbal, written, and interpersonal communication skills
Desired: Ability to interact with all levels of branch associates and business units
Desired: Strong attention to detail and accuracy skills
Desired: Strong time management skills
Desired: Strong research and documentation skills
Desired: Ability to work independently while balancing multiple projects
Desired: Ability to gather, organize, and interpret data
Series 9/10 are the only principal licenses required; Series 24 is not required

Benefits

Comp & perks

Equal opportunity employment
Medical accommodation support during the application or interview process
Drug-free workplace
Wells Fargo recruitment and hiring support