Supervisory Control Associate

Wells Fargo

Charlotte, NC, US
Base: $68,000.00 - $114,000.00 usd annual; bonus/e...
Fully remote
Supervisory control experience
Risk management consulting background
Insurance or property casualty knowledge
This role involves direct support of branches for remote compliance supervision of Private Client Group and Wealth Brokerage Services

Job Summary

  • This role involves direct support of branches for remote compliance supervision of Private Client Group and Wealth Brokerage Services.
  • Candidates must successfully complete FINRA Series 9/10 and 65 (or 66) registration within a specific timeframe contingent on license transfer.
  • Wells Fargo offers comprehensive benefits including health coverage, 401(k) plans, paid time off, and tuition reimbursement.

Matching Summary

This role involves direct support of branches for remote compliance supervision of Private Client Group and Wealth Brokerage Services.

Salary

Base: $68,000.00 - $114,000.00 USD Annual; Bonus/Equity: Incentive opportunities available; Benefits: Health, 401(k), PTO, Life insurance, Tuition reimbursement

Skills & Requirements

Must-have

  • Supervisory Control experience
  • Risk Management Consulting background
  • Insurance or Property Casualty knowledge
  • FINRA Series 7 and 63 examinations

Nice-to-have

  • Strong analytical skills for data diagnosis
  • Conflict management and decision-making abilities
  • Intermediate Microsoft Office proficiency
  • Flexible adjustment to changing business needs

Key Requirements

  • 6+ months Supervisory Control or Risk Management experience
  • US Only: Completed FINRA Series 7 and 63 exams
  • Ongoing FINRA registration maintenance required
  • Pass enhanced financial fitness and criminal background check

Work Rights

Must have US work authorization

Tailored Resume

Cover Letter