Supervisory Control Associate

About This Role

The Supervisory Control Associate provides direct support to Wells Fargo Advisors branches for remote compliance supervision of Private Client Group (PCG) and Wealth Brokerage Services (WBS) producing Branch Managers and Financial Advisors. This role focuses on ensuring sales activities comply with regulatory and firm policies using various technological tools and reports.

Responsibilities

• Participate or conduct compliance, supervision, control reviews, administration and technology duties
• Design risk processes and provide project management support
• Identify issues and provide resolution within Insurance or Private Client Groups
• Perform basic or tactical ongoing regulatory, compliance and operational reviews
• Develop an understanding of sales activities using various technological tools and reports to ensure compliance with regulatory and firm policies
• Collaborate and consult with financial advisors, branch managers, supervisory principals and Market Administration Management

Requirements

• 6+ months of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent through experience, training, military, or education
• Successfully completed FINRA Series 7, 9/10, and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Qualifications

• 6+ months of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, or Insurance Brokerage experience, or equivalent demonstrated through work experience, training, military experience, or education

Nice to Have

• 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 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
• FINRA registration including Series 65 or 66 (or FINRA recognized equivalents)

Skills

* Required skills

Benefits