Senior Supervisory Control Specialist

About This Role

Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Social Media / Website Review and Supervision team. This team plays a critical role in ensuring compliance across digital platforms for Client Relationship Group (CRG) and Financial Network (FiNet).

Responsibilities

• Conduct centralized reviews of advisor websites, social media profiles, and interactive content to ensure adherence to firm policies and regulatory requirements.
• Serve as the primary Social Media expert for platforms such as LinkedIn, Facebook, Proofpoint and Broadridge.
• Act as a Subject Matter Expert (SME) on social media policies, providing guidance on communication, quality assurance, and reporting.
• Lead risk management efforts within the Client Relationship Group (CRG) and Financial Network (FiNet), focusing on supervisory and human capital risks.
• Identify regional risks, recommend effective solutions, and implement controls to mitigate potential issues.
• Analyze risk trends across markets, complexes, and branches, ensuring consistent resolution and fostering a strong control environment.
• Drive complex initiatives aimed at strengthening controls and mitigating risks, while assessing the effectiveness of implemented measures.
• Serve as the lead reviewer and resolver for escalated supervisory, risk, and human capital matters.
• Collaborate with cross-functional teams-including supervision, legal, compliance, HR, credit, and risk leadership-to identify and address regional risks.
• Provide recommendations and implement controls leveraging deep knowledge of firm policies and procedures.
• Consult with business, governance, and compliance leaders to evaluate and mitigate risk exposure.
• Mentor and support less experienced Supervisory Control Specialists, fostering professional development and knowledge sharing.

Requirements

• 4+ years of Supervisory Control, 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: Proficient with compliance and supervision tools such as Adtrack, Broadridge, Engage, MyMarketing, Proofpoint, and Scout for monitoring and reporting activities.
• Strong time management skills with the ability to prioritize multiple tasks and meet deadlines in a fast-paced environment.
• Experience in training and coaching team members or peers, including mentoring less experienced Supervisory Control Specialists.
• Expertise in social media compliance including reviewing profiles and interactive content for adherence to firm policies and regulatory standards.
• Demonstrated ability to lead risk management initiatives, identify supervisory and human capital risks, and implement effective controls across regions.
• Collaborative mindset with experience partnering across supervision, legal, compliance, human resources, credit, risk, and leadership teams to resolve escalations and mitigate risks.
• Strong verbal, written, and interpersonal communication skills.

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.
• Absolutely no relocation assistance provided.
• 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.
• 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.

Posting Location

Charlotte, NC - 1525 W W T Harris Blvd
St. Louis, MO - 2801 Market St. F & L Bldg.
Minneapolis, MN - 90 S 7th St.

Pay Range

Charlotte, NC - $87,000.00 - $140,000.00 USD Annual
St. Louis, MO - $87,000.00 - $140,000.00 USD Annual
Minneapolis, MN - $96, 000.00 - $154,000.00 USD Annual

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.

Reference Number

R-560412-2