Supervisory Control Specialist

Responsibilities

• Participate and consult regarding policies, procedures, controls, tools, and training
• Review and analyze controls to manage high-risk investment strategies and complex products
• Evaluate resources to monitor risk and guide process improvements and technology enhancements
• Present recommendations for resolving complex analysis in search of best practices
• Gather and analyze data to identify trends and present findings through meaningful statistics
• Collaborate with Financial Advisors, Management, and various Business Units to ensure compliance

Requirements

• 2+ years of experience in Supervisory Control, Risk Management, or related insurance/brokerage fields
• Successfully completed FINRA Series 7, 9/10, and 66 examinations (or recognized equivalents)
• Ability to travel up to 25 percent of the time

Preferred Qualifications

• 2+ years of experience within the financial services industry
• Experience in compliance or broker-dealer governance
• Proven ability to partner with business and supervision partners to resolve complex issues
• Strong interpersonal, negotiation, and conflict-management skills
• Ability to manage multiple competing priorities and work independently

Benefits

• Health benefits
• 401(k) Plan
• Paid time off
• Disability, life, critical illness, and accident insurance
• Parental and critical caregiving leave
• Tuition reimbursement and scholarships for dependent children
• Commuter benefits

About the Company

Wells Fargo & Company is a leading financial services company with approximately $2.1 trillion in assets. We provide a diversified set of banking, investment, and mortgage products and services through our specialized operating segments, including Wealth & Investment Management.