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The Role
Performs supervisory control, regulatory compliance, risk, and operational reviews for wealth and investment management activities. Analyzes trends, retirement asset movements, electronic communications, trade corrections, and suitability practices. Develops reports, business requirements, and recommendations to improve efficiency, data governance, quality, and compliance. Collaborates with financial advisors, branch managers, supervisory principals, technology teams, and business partners while maintaining required FINRA registrations and regulatory obligations.
Summary Generated by Built In
About this role:
Wells Fargo is seeking a Supervisory Control Associate to join the Central Supervision Unit as part of Wealth & Investment Management (WIM). Learn more about the career areas and lines of business at wellsfargojobs.com .
In this role, you will:
Required Qualifications:
Job Expectations:
Job Posting Location:
7 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.
Wells Fargo is seeking a Supervisory Control Associate to join the Central Supervision Unit as part of Wealth & Investment Management (WIM). Learn more about the career areas and lines of business at wellsfargojobs.com .
In this role, you will:
- Perform analysis of findings and trends using statistical analysis and document processes, including Retirement Asset Movement Questionnaire (RAMQ) and related electronic communications and as needed
- Perform basic or tactical ongoing regulatory, compliance and operational reviews related to recommendations and suitability for retirement accounts, moving assets as well as other duties related to best practices and opportunities for additional synergies to maximize efficiencies.
- Receive direction from management and exercise independent judgment while developing an understanding of sales, retirement asset movement of Qualified Retirement Plan (QRP) to Individual Retirement Account (IRA) rollovers, electronic communications and ad hoc activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies
- Review trade corrections for Private Client Group (PCG), Wealth Brokerage Services (WBS) and Financial Network (FiNet)
- Identify and define business requirements and translate data and business needs into research and recommendations to improve operational efficiency, quality and compliance of sales, retirement assets, electronic communications and ad hoc activities
- Develop customized reports and ad hoc analyses to make recommendations and provide guidance
- Understand compliance and risk management requirements for supported area
- Ensure adherence to data management or data governance regulations and policies
- Participate in company initiatives or processes to assist in meeting risk and capital objectives and other strategic goals
- Participate in all group technology efforts including design and implementation of database structures, analytics software, storage, and processing
- Support off channel communications processes and address questions as needed for WIM
- Collaborate and consult with financial advisors, branch managers, supervisory principals as well as more experienced consultants and with partners in technology and other business groups
Required Qualifications:
- 6+ months 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 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
- Conflict management and decision-making skills
- Excellent verbal, written, and interpersonal communication skills
- Basic Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
- Ability to navigate multiple computer systems, applications, and utilize search tools to find information
- Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
- Ability to interact with all levels of branch associates and business units
- Ability to exercise independent judgment to identify and resolve problems
- Strong attention to detail and accuracy skills
- FINRA registration including Series 66 (or FINRA recognized equivalents)
- FINRA registration including Series 9/10 (or FINRA recognized equivalents)
Job Expectations:
- US Only: Registration for FINRA Series 9/10 and Series 66 must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance.
- US Only: Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition, state registration, 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 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 may also be required. Registration for FINRA Series 65 or 66 must be completed prior to conducting Investment Advisory business.
- 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.
- 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.
- This position is not eligible for Visa sponsorship.
Job Posting Location:
- 2801 Market St. F & L Bldg., St. Louis, Missouri
7 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
- At least 6 months of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent work experience, training, military experience, or education
- Successfully completed FINRA Series 7 and Series 63 examinations, or FINRA-recognized equivalents, sufficient for immediate FINRA registration
- FINRA Series 9/10 registration or FINRA-recognized equivalent
- FINRA Series 66 registration or FINRA-recognized equivalent
- Maintain appropriate FINRA licenses and applicable state, product, or SAFE registrations
- Successfully pass FINRA background screening and comply with ongoing regulatory obligations
- Basic Microsoft Office skills, including Word, Excel, Outlook, and PowerPoint
- Conflict management and decision-making skills
- Strong verbal, written, and interpersonal communication skills
- Ability to navigate multiple computer systems, applications, and search tools
- Ability to prioritize work, meet deadlines, achieve goals, and work under pressure
- Strong attention to detail and accuracy
Wells Fargo Compensation & Benefits Highlights
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Healthcare Strength — Health coverage begins on day one with comprehensive medical, dental, and vision options, and the company subsidizes a substantial share of premiums for U.S. employees (varying by compensation band).
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Retirement Support — A robust 401(k) program includes an employer match for eligible employees, with specifics laid out in plan materials and filings.
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Parental & Family Support — Paid parental leave extends up to 16 weeks for eligible primary caregivers, alongside fertility coverage, adoption/surrogacy reimbursement, and lactation support.
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The Company
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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Wells Fargo Offices
Hybrid Workspace
Employees engage in a combination of remote and on-site work.
Typical time on-site:
3 days a week
