Supervisory Control Specialist at Wells Fargo

Dayton, Ohio, United States -

Full Time

Start Date

Immediate

Expiry Date

10 Jul, 26

Salary

121000.0

Posted On

11 Apr, 26

Experience

2 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Supervisory control, Risk management, Compliance, Regulatory policies, Data analysis, Financial services, Conflict management, Decision making, Communication skills, Broker-dealer governance, Investment strategies, Process improvement, Policy development, Relationship management, Reporting

Industry

Financial Services

Description

About this role: Wells Fargo is seeking a Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management. Learn more about the career areas and lines of business at wellsfargojobs.com. In this role, you will: Participate and consult regarding policies and procedures, controls, tools and training Review and analyze controls to manage high risk investment strategies and complex products Evaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancements Present recommendations for resolving complex analysis in search of current and best practices Gather and analyze data, identify trends and present analysis through meaningful statistics Develop expertise in firm, compliance and regulatory policies and procedures Collaborate and consult with Financial Advisors, Divisional and more experienced Management, Market Leaders, Growth Leaders, Branch Managers, , Supervision Managers, and varying Business Units Required Qualifications: 2+ years of Supervisory Control, Corporate Insurance Risk, 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 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration Desired Qualifications: Experience partnering with business, compliance and supervision partners to address concerns, resolve complex issues and provide solutions Ability to exercise independent judgment to identify and resolve problems Ability to interact with all levels of employees and management across the organization and Independent Offices Excellent verbal, written, and interpersonal communication skills Negotiating, conflict-management, and decision making skills Ability to take initiative, work independently, identify opportunities, and implement change Ability to manage multiple and competing priorities 2+ years of financial services industry experience Experience in compliance or broker-dealer governance Job Expectations: 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 is required Ability to travel up to 25 percent of the time 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 not eligible for Visa sponsorship. 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. Locations: 30050 Chagrin Blvd Ste 150 – Cleveland, Ohio 44124 8044 Montgomery Rd – Cincinnati, Ohio 45236 3800 Embassy Pkwy Ste 100 – Akron, Ohio 44333 380 Polaris Pkwy – Westerville, Ohio 43082 40 N Main St – Dayton, Ohio 45423 6515 Longshore Loop Ste 200 – Dublin, Ohio 43017 10100 Innovation Dr Ste 140 – Miamisburg, Ohio 45342 7335 Crossleigh Court, Ste 100 – Toledo, Ohio 43617 226 Crocker Park Blvd Ste 200 – Westlake, Ohio 44145 1891 Georgetown Rd – Hudson, Ohio 44236 Relocation assistance is not available for this position. Pay Range Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities. $77,000.00 - $121,000.00 Benefits Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo 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: 17 Apr 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. 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 & Company (NYSE: WFC) is a leading financial services company that has approximately $1.9 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. 34 on Fortune’s 2024 rankings of America’s largest corporations. In the communities we serve, the company focuses its social impact on building a sustainable, inclusive future for all by supporting housing affordability, small business growth, financial health, and a low-carbon economy. News, insights, and perspectives from Wells Fargo are also available at Wells Fargo Stories. Additional information may be found at www.wellsfargo.com LinkedIn: https://www.linkedin.com/company/wellsfargo For questions on how to search and apply, visit our frequently asked questions.

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Responsibilities

The Supervisory Control Specialist will monitor and analyze high-risk investment strategies and complex products to ensure compliance with firm and regulatory policies. They will collaborate with various business units and management to identify trends, recommend process improvements, and implement effective risk controls.