Supervisory Control Associate

About This Role

This role supports Wells Fargo Advisors in maintaining compliance through remote supervision of Private Client Group and Wealth Brokerage Services producing Branch Managers and Financial Advisors, ensuring adherence to regulatory and firm policies.

Responsibilities

• Participate or conduct compliance, supervision, control reviews, administration and technology
• 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
• Exercise independent judgment while developing an understanding of sales activities using various technological tools and reports
• 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, or Insurance Brokerage experience
• Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7, 9/10, and 63 examinations

Qualifications

• 6+ months of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent

Nice to Have

• Strong analytical skills
• Solid conflict management and decision-making skills
• Excellent verbal, written, and interpersonal communication skills
• Ability to work independently
• Ability to be flexible and adjust plans quickly
• 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
• FINRA registration including Series 65 or 66

Skills

* Required skills

Benefits