Senior Supervisory Control Specialist

Wells Fargo

Westport, CT, US
Base: $104,000.00 - $168,000.00; bonus/equity: inc...
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Conduct ongoing monitoring for regulatory conformity
Supervise financial advisors for finra/sec compliance
Resolve complex compliance and disciplinary issues
** Wells Fargo is seeking a Senior Supervisory Control Specialist to oversee supervisory practices within their Wealth and Investment Management division. The role involves ensuring compliance with regulatory requirements while collaborating with various stakeholders to manage risk effectively. **

Job Summary

  • This role is responsible for supervisory oversight of practices within the Branches to ensure adherence with regulatory, compliance, and legal requirements.
  • The Senior Supervisory Control Specialist will partner with areas of Compliance, Legal, and the Line of Business to address concerns related to Financial Advisors.
  • Wells Fargo provides eligible employees with a comprehensive set of benefits including health benefits, a 401(k) Plan, paid time off, and tuition reimbursement.

Matching Summary

Match Score: 75

** Wells Fargo is seeking a Senior Supervisory Control Specialist to oversee supervisory practices within their Wealth and Investment Management division. The role involves ensuring compliance with regulatory requirements while collaborating with various stakeholders to manage risk effectively. **

Salary

Base: $104,000.00 - $168,000.00; Bonus/Equity: Incentive opportunities available; Benefits: Comprehensive health, 401(k), PTO, and more

Skills & Requirements

Must-have

  • Conduct ongoing monitoring for regulatory conformity
  • Supervise financial advisors for FINRA/SEC compliance
  • Resolve complex compliance and disciplinary issues
  • Manage sales review activities and training plans
  • Partner with Compliance, Legal, and Risk departments

Nice-to-have

  • Exercise independent judgment to identify problems
  • Negotiating and conflict-management skills
  • Ability to lead high-risk projects
  • Excellent verbal and written communication
  • Experience in broker-dealer governance

Key Requirements

  • 4+ years of Supervisory Control or Risk Management experience
  • FINRA Series 7, 9/10, and 63 examinations completed
  • FINRA Series 66 examination completed
  • Must maintain appropriate FINRA license(s)
  • US Only: Must meet state law registration requirements

Work Rights

Not specified

Tailored Resume

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