Wells Fargo Advisors (WFA) is seeking a Supervisory Control Associate responsible for direct support of branches and their responsibilities for remote compliance supervision of Private Client Group (PCG) and Wealth Brokerage Services, (WBS) producing Branch Managers, and Financial Advisors. Learn more about the career areas and lines of business at www.wellsfargojobs.com
In this role, you will:
- Provide support to WFA Supervisory Control Specialists as needed
- Provide remote sales supervision and support for the WellsTrade, PCG, WBS, Institutional Retirement and Trust (IRT) channels and support branch offices with on-going monitoring to ensure compliance with internal policies, applicable laws, and regulations
- Work closely with the regional and branch staff on compliance and supervision policies, practices, and resolution of issues
- Conduct certain client account approvals
- Participate or conduct compliance, supervision, control reviews, administration, and technology
- Design risk processes and provide project management support
- Identify issues and provide resolution within Wealth Brokerage Service or Private Client Groups
- Assist with oversight of branch risk management
- Perform basic or tactical ongoing regulatory, compliance and operational reviews 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 and other activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies
- Collaborate and consult with financial advisors, branch managers, supervisory principals, and other departments as needed.
- Complete other duties as assigned by the Supervision Manager
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
Desired Qualifications:
- 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 the needs of 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 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 65 (or 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 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 may also be 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.
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 Locations:
550 S Tryon St., Charlotte, NC
114 N Beaumont St., Saint Louis, MO
550 S 4th St., Minneapolis, MN
Pay Range:
Charlotte, NC - $68,000.00 - $104,000.00 USD Annual *Salary range is determined by location of the job
St. Louis, MO - $68,000.00 - $104,000.00 USD Annual *Salary range is determined by location of the job
Minneapolis, MN - $75,000.00 - $114,000.00 USD Annual *Salary range is determined by location of the job
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What We Do
Wells Fargo & Company (NYSE: WFC) is a leading financial services company that has approximately $2.1 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 once again ranked in the top three – making us the #1 financial services employer – on the 2025 LinkedIn Top Companies list of best workplaces “to grow your career” in the U.S. 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. We ranked in the top 3 on the 2025 LinkedIn Top Companies list – and #1 among financial services companies – as the best workplace “to grow your career” in the U.S.
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