Wells Fargo Logo

Wells Fargo

Senior Supervisory Control Specialist

Reposted An Hour Ago
Be an Early Applicant
Hybrid
Fort Worth, TX
Senior level
Hybrid
Fort Worth, TX
Senior level
Supervise branch supervisory controls for Wealth & Investment Management, ensuring compliance with FINRA/SEC rules and firm policies. Monitor activities, implement policies, report to governance, resolve compliance issues, lead training, allocate resources, and partner with Compliance, Legal, Risk, and business stakeholders to mitigate regulatory and operational risk.
The summary above was generated by AI
About this role:
Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management. This role is responsible for supervisory oversight of practices within the Branch(es). You will ensure the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands the complexity, partnership needs and customer service requirements that come with managing this process. You will work with business partners and the field as needed to navigate the firm's solutions to provide the best resolutions for them and their clients, all while mitigating risk. You must act with integrity and a high level of professionalism with all levels of employees and management across the organization and Independent Offices. Additionally, you will partner with areas of Compliance, Legal and the Line of Business, as needed, in addressing concerns and issues as it relates to the Wells Fargo Clearing Services (WFCS) Financial Advisors and associated Brokerage locations. Learn more about the career areas and lines of business at wellsfargojobs.com .
In this role, you will:
  • Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations
  • Have responsibility to supervise the activities of representatives (e.g., financial advisors) to ensure their compliance with FINRA and SEC rules and regulations, as well as federal and state laws
  • Implement and monitor policies and procedures
  • Provide regular reporting to Governance Leadership, Markets and Division to ensure that the activity complies with all regulatory and firm policies
  • Make decisions and resolve issues regarding compliance, supervision policies, practices, hiring, disciplinary actions and training
  • Monitor sales review activities, coordinate proper staff and coverage and develop and implement training plans within CRG to meet business objectives
  • Meet regularly with risk and business partners as well as serve as a primary business 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

Required Qualifications:
  • 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:
  • 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, sales supervision

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. 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
  • May be expected to travel up to 35% of the time
  • 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.
  • Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process
  • 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.****
Job Location:
  • 201 Main St Ste 1700 - Fort Worth, Texas 76102

Posting End Date:
30 Oct 2026
*Job posting may come down early due to volume of applicants.
We Value Equal Opportunity
Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.
Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
Wells Fargo Recruitment and Hiring Requirements:
a. Third-Party recordings are prohibited unless authorized by Wells Fargo.
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

Similar Jobs at Wells Fargo

An Hour Ago
Hybrid
159K-305K Annually
Senior level
159K-305K Annually
Senior level
Fintech • Financial Services
Leads enterprise-scale systems operations and reliability engineering initiatives, advising senior leaders and designing resilient, secure, scalable technology platforms. Drives automation, AI-enabled solutions, observability, SRE practices, infrastructure operations, platform security, and technology hygiene. Resolves complex technical challenges, supports production environments, improves operational efficiency, and mentors engineering teams while influencing strategic technology direction.
Top Skills: AIApplication SecurityCi/CdDevsecopsGenerative AiInfrastructure OperationsInfrastructure SecurityJavaObservabilityPlatform SecuritySite Reliability EngineeringSystems Engineering
Entry level
Fintech • Financial Services
Build customer relationships, identify financial needs, recommend banking products, support account openings and credit applications, process cash transactions, and provide compliant service. The role combines customer outreach, branch operations, digital banking assistance, referrals, and collaboration with banking specialists. Saturday availability and SAFE registration are required.
An Hour Ago
Hybrid
68K-114K Annually
Junior
68K-114K Annually
Junior
Fintech • Financial Services
Supports remote compliance supervision for wealth management branches, financial advisors, and branch managers. Conducts control, regulatory, operational, and compliance reviews; designs risk processes; identifies and resolves issues; analyzes sales activity using technology and reports; and supports projects and efficiency initiatives. Collaborates with advisors, managers, supervisory principals, and market administration while maintaining FINRA and firm policy compliance.
Top Skills: ExcelMS OfficeMicrosoft OutlookMicrosoft Word

What you need to know about the Boston Tech Scene

Boston is a powerhouse for technology innovation thanks to world-class research universities like MIT and Harvard and a robust pipeline of venture capital investment. Host to the first telephone call and one of the first general-purpose computers ever put into use, Boston is now a hub for biotechnology, robotics and artificial intelligence — though it’s also home to several B2B software giants. So it’s no surprise that the city consistently ranks among the greatest startup ecosystems in the world.

Key Facts About Boston Tech

  • Number of Tech Workers: 269,000; 9.4% of overall workforce (2024 CompTIA survey)
  • Major Tech Employers: Thermo Fisher Scientific, Toast, Klaviyo, HubSpot, DraftKings
  • Key Industries: Artificial intelligence, biotechnology, robotics, software, aerospace
  • Funding Landscape: $15.7 billion in venture capital funding in 2024 (Pitchbook)
  • Notable Investors: Summit Partners, Volition Capital, Bain Capital Ventures, MassVentures, Highland Capital Partners
  • Research Centers and Universities: MIT, Harvard University, Boston College, Tufts University, Boston University, Northeastern University, Smithsonian Astrophysical Observatory, National Bureau of Economic Research, Broad Institute, Lowell Center for Space Science & Technology, National Emerging Infectious Diseases Laboratories

Sign up now Access later

Create Free Account

Please log in or sign up to report this job.

Create Free Account