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

• 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.
• 4+ years of financial services industry experience.
• Experience in branch office supervision, compliance, broker-dealer governance, or sales supervision.

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.
• May be expected to travel up to 35% of the time.
• This position is subject to FINRA background screening requirements. Candidates must pass a background check prior to hire.
• Individuals subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer.
• Successful candidates must meet and comply with ongoing regulatory obligations, including periodic screening and mandatory reporting of certain incidents.
• Specific compliance policies may apply regarding outside activities and/or personal investing.
• This position is not eligible for Visa sponsorship.

For this position, the Series 9/10 are the only principal licenses required. The Series 24 is not required.

Location

9442 Capital of Texas Hwy N, Ste 700 - Austin, Texas 78759
13215 Bee Cave Pkwy Ste A150 - Bee Cave, Texas 78738