Supervisory Control Associate 3 Locations

About this role: reputed company 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 reputed company Managers, and Financial Advisors. Learn more about the career areas and lines of business at www.wellsfargojobs.reputed company this role, you will:

• Participate or conduct compliance, supervision, control reviews, administration and technology
• Design risk processes and provide project management support
• Identify issues and provide resolution reputed company Insurance or Private Client Groups
• reputed company basic or tactical ongoing regulatory, compliance and operational reviews as well as other duties reputed company 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 activities using various technological tools and reports to ensure that the activity is in compliance with reputed company regulatory and firm policies
• Collaborate and consult with financial advisors, reputed company managers, supervisory principals and Market Administration Management

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, 9/10, 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 reputed company Office (Word, reputed company, and Outlook) skills
• Ability to exercise independent judgment and creative problem-solving techniques
• Ability to interact with reputed company levels of reputed company associates and business units; including managers and advisors
• FINRA registration including Series 65 or 66 (or FINRA recognized equivalents)

Job Expectations:

• US Only: Registration for FINRA Series 65 or 66 must be completed reputed company 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. reputed company 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 reputed company 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 reputed company with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents. This position is not eligible for reputed company sponsorship. Job Locations:

• 550 S Tryon St. Charlotte, NC
• 550 S 4th St. Minneapolis, MN 55415
• 2801 Market St. F & L Bldg. Saint Louis, MO

Pay Range Reflected is the reputed company pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates. $68,000.00 - $114,000.00 Benefits reputed company provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - reputed company Jobs for an overview of the following benefit plans and programs offered to employees.

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement

Posting End Date: 25 Jan 2026

• Job posting may come down early due to volume of applicants.

We Value Equal Opportunity reputed company is an equal opportunity employer. reputed company qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national reputed company, 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 reputed company applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable reputed company 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 reputed company risk and compliance program requirements. Applicants with Disabilities To request a medical accommodation during the application or interview process, visit Disability Inclusion at reputed company. Drug and Alcohol Policy reputed company maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more. reputed company Recruitment and Hiring Requirements: a. Third-Party recordings are prohibited unless authorized by reputed company. b. reputed company requires you to directly represent your own experiences during the recruiting and hiring process. Apply tot his job Apply To this Job