Senior Supervisory Control Specialist - Centralized Review Team

About the role

Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Centralized Review Team. In this role, you will serve as a key partner to Financial Advisors and act as a Qualified Supervisor, reviewing advisor-submitted customized and consolidated reporting materials, Strategic Planning Services (SPS) engagements, and other assigned submissions in accordance with firm policies, regulatory requirements, and supervisory standards.

Responsibilities

• Serve as the Qualified Supervisor responsible for reviewing and approving FA-generated Custom and Consolidated Reports, including all supporting and supplemental documentation.
• Conduct supervisory reviews of Strategic Planning Services (SPS) engagements, ensuring appropriate documentation, disclosures, and supervisory requirements have been satisfied.
• Utilize firm systems and tools to conduct thorough, compliant supervisory reviews.
• Collaborate with Governance team members and the field to ensure consistent and efficient execution of Compliance and Risk policies and procedures.
• Act as a subject matter expert for Consolidated Reports and Strategic Planning Services, providing guidance to the field to drive compliant outcomes and manage regulatory risk.
• Provide centralized Qualified Supervisor approval for all Requests for Proposals (RFPs) in Red Oak, ensuring documentation is complete, appropriate approvals have been obtained, and all firm, compliance, and regulatory requirements are satisfied.
• Partner with the field to guide stakeholders to appropriate solutions, leveraging a strong understanding of disclosure requirements and supervisory expectations to ensure compliance with firm and regulatory standards.
• Partner with Supervision, Legal, Compliance, Risk, Product, and leadership teams to identify risks, escalate issues as appropriate, and recommend solutions.
• Review activity to identify emerging risks and trends and recommend and implement controls to mitigate risk, leveraging a strong understanding of firm policies and procedures.
• Support governance initiatives related to Strategic Planning Services, including process enhancements, supervisory guidance, training materials, and risk mitigation efforts.
• Identify training needs based on analysis, review findings, and trends, and create and deliver ongoing training to field personnel to reinforce expectations and promote risk awareness.

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

• Demonstrated experience in financial services compliance and supervision, with the ability to apply risk-based decision making in alignment with firm and regulatory expectations
• Strong analytical and critical-thinking skills, with high attention to detail, accuracy, and sound judgment
• Solid knowledge of broker-dealer regulatory requirements, including FINRA rules, and the ability to interpret and apply policy in complex scenarios
• Supervisory experience, preferably within Wells Fargo Wealth and Investment Management (WIM), with accountability for review, approval, and risk escalation
• Ability to identify, assess, and mitigate risk, and guide stakeholders to compliant solutions consistent with firm standards
• Demonstrated ability to execute with discipline, manage competing priorities, and deliver results in a dynamic, risk-focused environment
• Strong collaboration and influence skills, with the ability to partner effectively with field leadership, advisors, and control functions
• Excellent verbal, written, and interpersonal communication skills, including the ability to clearly articulate risk, requirements, and decisions
• Technology-savvy, with strong proficiency in Microsoft Excel and other tools used for analysis, reporting, and supervisory tracking
• Broad knowledge of financial services products and services, including brokerage, advisory, banking, retirement, insurance, and alternative investment offerings
• Experience or knowledge of wealth management and financial planning tools such as Advisor Gateway and eMoney