Supervisory Control Associate

About This Role

Wells Fargo Advisors (WFA) is seeking a Supervisory Control Associate responsible for direct support of branches and their responsibilities for remote compliance supervision of Private Client Group (PCG) and Wealth Brokerage Services (WBS) producing Branch Managers and Financial Advisors. Learn more about the career areas and lines of business at www.wellsfargojobs.com.

Required Qualifications

• 6+ months 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 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications

• Strong analytical skills including strategically analyzing data, diagnosing opportunities, and providing interventions
• Solid conflict management and decision-making skills
• Excellent verbal, written, and interpersonal communication skills
• Ability to work independently while balancing the needs of multiple projects
• Ability to be flexible and adjust plans quickly to meet changing business needs
• Intermediate Microsoft Office (Word, Excel, and Outlook) skills
• Ability to exercise independent judgment and creative problem-solving techniques
• Ability to interact with all levels of branch associates and business units; including managers and advisors

Job Expectations

• US Only: Registration for FINRA Series 9/10 and 65 (or 66) must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted.
• 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.

Pay Range

• Charlotte, NC - $68,000.00 - $104,000.00 USD Annual
• St. Louis, MO - $68,000.00 - $104,000.00 USD Annual
• Irving, TX - $68,000.00 - $104,000.00 USD Annual
• Minneapolis, MN - $75,000.00 - $114,000.00 USD Annual

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

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