Wells Fargo is seeking a Supervisory Control Associate Manager. This role will lead and oversee the daily activities of registered representatives, supervisory principals, and reviewer and will ensure timely completion of supervisory reviews while maintaining compliance with regulatory requirements and firm policies.
In this role, you will:
- Supervise registered individuals, supervisory principals and reviewers in day-to-day operations
- Monitor progress to ensure timely completion, quality and compliance in all regulatory and firm policies
- Implement opportunities for department, firm or risk initiatives in regulatory and firm policies and day to day functionality operations
- Make day to day compliance and supervisory decisions, resolve issues related to ensuring firm and regulatory requirements are met
- Implement and monitor policies and procedures under direction of Supervisory Control
- Collaborate and consult with market managers, regional and branch staff and potential interaction with support departments
- Manage allocation of people and financial resources for Supervisory Control
- Mentor and guide talent development of direct reports and assist in hiring talent
Required Qualifications:
- 4+ years of Supervisory Control or Sales Supervision within Financial Services experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- 1+ years of leadership experience
Desired Qualifications:
- Bachelor's degree in Finance, Business Administration, Accounting, Economics, or a related field
- 4+ years of experience in Supervisory Control, Sales Supervision, Compliance, Risk Management, or Brokerage Operations within the financial services industry
- Proven experience leading teams in a regulated financial environment
- Strong knowledge of FINRA and other applicable regulatory requirements
- Active FINRA Series 7 license
- Demonstrated ability to interpret and apply regulatory requirements and firm policies to complex business situations
- Experience conducting supervisory reviews, quality assurance reviews, and compliance monitoring activities
- Strong analytical and problem-solving skills with the ability to make sound risk-based decisions
- Excellent communication and relationship-building skills with the ability to influence partners across all levels of the organization
- Experience driving process improvements, operational efficiency, and risk mitigation initiatives
- Proficiency with brokerage platforms, compliance systems, and Microsoft Office applications (Excel, Word, PowerPoint)
- Strong coaching, mentoring, and talent development capabilities
- Demonstrated ability to lead change and support business transformation initiatives
Job Expectations:
- Willing to work onsite (BGC office)
- Willing to work US hours
- 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
Posting End Date:
16 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.
Skills Required
- 4+ years of Supervisory Control or Sales Supervision within Financial Services, or equivalent experience, training, military experience, or education
- 1+ year of leadership experience
- Bachelor's degree in Finance, Business Administration, Accounting, Economics, or a related field
- 4+ years of experience in Supervisory Control, Sales Supervision, Compliance, Risk Management, or Brokerage Operations within financial services
- Experience leading teams in a regulated financial environment
- Knowledge of FINRA and other applicable regulatory requirements
- Active FINRA Series 7 license
- Ability to interpret and apply regulatory requirements and firm policies to complex business situations
- Experience conducting supervisory reviews, quality assurance reviews, and compliance monitoring
- Analytical and problem-solving skills with risk-based decision-making ability
- Communication and relationship-building skills
- Experience driving process improvements, operational efficiency, and risk mitigation initiatives
- Proficiency with brokerage platforms, compliance systems, and Microsoft Office applications
- Coaching, mentoring, and talent development capabilities
- Ability to lead change and support business transformation initiatives
- Willingness to work onsite at the BGC office
- Willingness to work US hours
- FINRA supervisory license
Wells Fargo Compensation & Benefits Highlights
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Retirement Support — Retirement offerings are highlighted by a strong 401(k) with employer matching and added options like after‑tax contributions and an employee stock purchase plan, supporting long‑term savings. These features are presented as competitive elements of the total rewards package.
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Healthcare Strength — Medical, dental, and vision coverage are described as comprehensive, often starting on day one for eligible employees, with HSAs/FSAs, wellness incentives, and mental health resources available. Specialized care options, including fertility support, further enhance the health offering.
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Parental & Family Support — Paid parental leave of notable duration is available from the start of employment, alongside adoption/surrogacy/fertility programs. Caregiving and backup care resources deepen the family-oriented support.
Wells Fargo Insights
What We Do
Wells Fargo & Company (NYSE: WFC) is a leading financial services company that has approximately $2.2 trillion in assets. We provide a diversified set of banking, investment and mortgage products and services, as well as consumer and commercial finance, through our four reportable operating segments: Consumer Banking and Lending, Commercial Banking, Corporate and Investment Banking, and Wealth & Investment Management. Wells Fargo ranked No. 33 on Fortune’s 2025 rankings of America’s largest corporations. Our technology professionals drive innovation, information security, and big data analytics while maintaining a network that handles more than 12 billion customer interactions a year. Join us! Are you looking for more? Find it here. At Wells Fargo, we're more than a financial services leader – we’re a global trailblazer committed to driving innovation, empowering communities, and helping our customers succeed. We believe that a meaningful career is much more than just a job – it’s about finding all of the elements to help you thrive, in one place. Living the Well Life means you’re supported in life, not just work. It means having robust benefits, competitive compensation, and programs designed to help you find work-life balance and well-being. You’ll be rewarded for investing in your community, celebrated for being your authentic self, and empowered to grow. And we’re recognized for it — Wells Fargo continues to rank on the LinkedIn Top Companies lists of best workplaces “to grow your career.” 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. © 2026 Wells Fargo Bank, N.A. All rights reserved. Member FDIC.
Why Work With Us
We're known for our “Well Life” approach to supporting employees’ career aspirations, work-life balance, and mental and physical health. Wells Fargo continues to rank on the LinkedIn Top Companies lists of best workplaces “to grow your career.”
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