Senior Supervisory Control Specialist

Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management. This role focuses on supervisory oversight of practices within the Branch(es), ensuring adherence to regulatory, compliance, and legal requirements.

Responsibilities

• Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws, and regulations.
• Supervise the activities of representatives (e.g., financial advisors) to ensure compliance with FINRA, SEC rules, and federal/state laws.
• Implement and monitor policies and procedures.
• Provide regular reporting to Governance Leadership, Markets, and Division to ensure compliance with regulatory and firm policies.
• Make decisions and resolve issues regarding compliance, supervision policies, practices, hiring, disciplinary actions, and training.
• Monitor sales review activities, coordinate staff and coverage, and develop training plans to meet business objectives.
• Meet regularly with risk and business partners and serve as a primary contact on key initiatives with Wealth, Compliance, Risk, regional management, and other home office departments.
• Manage allocation of people and financial resources for Supervisory Control.

Requirements

• 4+ 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.
• Successfully completed FINRA Series 7, 9/10 (or 24 where applicable), and 63 (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration (U.S. only).

Qualifications

• 4+ years of financial services industry experience.
• Experience in branch office supervision, compliance, broker-dealer governance, or sales supervision.
• Experience partnering with business, compliance, and operational 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 lead projects/initiatives with high risk and complexity.
• Ability to manage multiple and competing priorities.

Job Expectations

• Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment. Compliance with state law registration and licensing requirements is mandatory.
• 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.
• Candidates must successfully complete and pass a background check prior to hire. Individuals subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer.
• This position is not eligible for Visa sponsorship.

Job Location: 461 From Rd., Paramus, NJ 07652

Pay

$104,000.00 - $168,000.00 (base pay range; may vary based on factors including but not limited to demonstrated performance, skills, experience, or work location). Employees may also be eligible for incentive opportunities.

Benefits

• 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