About this role:
Wells Fargo is seeking a Supervisory Control Specialist to join the Tier II Enhanced Review team within the Centralized Supervision Unit (CSU). This role focuses on analyzing Financial Advisors’ business practices, client accounts, and complex or high-risk investment strategies to identify potential risks and support adherence to firm and regulatory requirements. You will leverage strong product knowledge, analytical skills, and sound judgment while collaborating with partners across the organization.
In this role, you will:
- Review supervision alerts and monitoring activities, investigate identified concerns, and drive timely resolution to mitigate risk and ensure compliance with firm policies and regulatory requirements.
- Conduct extensive, in-depth reviews and analysis of Financial Advisors’ books of business, business practices, client accounts, and households to identify potential risks and ensure adherence to firm policies, procedures, and regulatory requirements.
- Review and analyze complex and high-risk products and investment strategies, including controls designed to manage associated risks.
- Monitor and evaluate Financial Advisor action plans developed in coordination with Regional Supervisory and Risk Business Managers.
- Conduct ongoing and ad hoc targeted reviews, using independent judgment to identify potential issues, trends, and opportunities for improvement.
- Gather, analyze, and interpret data to identify trends, develop meaningful insights, and present findings and recommendations through detailed analysis and reporting.
- Evaluate existing controls, processes, tools, and resources and recommend opportunities to enhance efficiency, risk management, and technology solutions.
- Consult on policies, procedures, controls, tools, and training while developing expertise in firm, compliance, and regulatory requirements.
- Research complex issues and recommend solutions based on regulatory guidance, industry best practices, and business needs.
- Collaborate and consult with Branch Managers, Governance Managers, Supervision Managers, Regional and Risk partners, and other business units to address review findings and resolve risk-related matters.
Required Qualifications:
- 2+ years of Supervisory Control, Corporate Insurance Risk, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10 (or 24 where applicable), and 63 (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
Desired Qualifications:
- Strong product knowledge across various product types; including Equities, Mutual Funds, Annuities, Market-Linked Investments, UITs, Alternative Investments, and other complex products.
- Demonstrated ability to serve as a subject matter expert across multiple product areas and effectively navigate a variety of complex situations.
- Strong understanding of firm policies, regulatory requirements, and industry practices to support sound decision-making and determine appropriate best practices.
- Ability to conduct, document, and communicate reviews, including identifying and engaging appropriate partners and subject matter experts when needed.
- Strong verbal and written communication skills, with the ability to clearly articulate findings, recommendations, and complex information.
- Strong analytical and critical-thinking skills, with the ability to evaluate information, identify potential concerns, and determine appropriate solutions.
- Proficiency in Microsoft Office Suites with strong knowledge of Excel for organizing, reviewing, and analyzing information.
- Ability to collaborate effectively with Complex Products and Strategy partners and other key stakeholders.
Job Expectations:
- US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required
- This role requires a FINRA supervisory license and may require working in the assigned office location for at least one year from the hire date. Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section 14 regulatory questions/disclosures, will be ineligible to work from a location other than their assigned office location
****For this position the Series 9/10 are the only principal licenses required. The Series 24 is not required.
This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
This position is not eligible for Visa sponsorship.
Job Location:
2801 Market St, F & L Bldg., Saint Louis, MO
5201 W Amelia Earhart Dr., Salt Lake City, UT
550 S 4th St., Minneapolis, MN
550 S Tryon St., Charlotte, NC
Pay Range:
St. Louis, MO - $77,000.00 - $121,000.00 USD Annual *Salary range is determined by location of the job
Salt Lake City, UT - $77,000.00 - $121,000.00 USD Annual *Salary range is determined by location of the job
Charlotte, NC - $77,000.00 - $121,000.00 USD Annual *Salary range is determined by location of the job
Minneapolis, MN - $85,000.00 - $133,000.00 USD Annual *Salary range is determined by location of the job
Pay Range
Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.
$77,000.00 - $133,000.00
Benefits
Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.
- 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
Posting End Date:
28 Oct 2026
*Job posting may come down early due to volume of applicants.
We Value Equal Opportunity
Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
Wells Fargo Recruitment and Hiring Requirements:
a. Third-Party recordings are prohibited unless authorized by Wells Fargo.
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.