Supervisory Control Associate Manager

Wells Fargo

BGC, United States
Onsite
Supervise registered individuals and principals
Ensure timely completion of regulatory tasks
Implement department risk initiatives
Wells Fargo is seeking a Supervisory Control Associate Manager to oversee compliance operations, manage staff, and ensure adherence to regulatory policies. The ideal candidate should have supervisory experience in financial services and possess strong leadership and stakeholder management skills

Job Summary

  • This role involves supervising registered individuals and principals to ensure day-to-day operations meet all regulatory and firm policies.
  • The position requires making sound risk decisions and implementing opportunities for department or firm-wide risk initiatives.
  • Candidates must be willing to work US hours onsite at the BGC office and hold an active FINRA supervisory license.

Matching Summary

Match Score: 85

Wells Fargo is seeking a Supervisory Control Associate Manager to oversee compliance operations, manage staff, and ensure adherence to regulatory policies. The ideal candidate should have supervisory experience in financial services and possess strong leadership and stakeholder management skills.

Skills & Requirements

Must-have

  • Supervise registered individuals and principals
  • Ensure timely completion of regulatory tasks
  • Implement department risk initiatives
  • Manage allocation of people and resources
  • Resolve compliance issues proactively

Nice-to-have

  • Strong stakeholder management skills
  • Excellent communication abilities
  • Mentor and guide talent development
  • Collaborate with regional staff
  • Assist in hiring new talent

Key Requirements

  • 2+ years Supervisory Control experience
  • 1+ year leadership experience
  • Active FINRA Series 7 license
  • Experience in compliance or global banking
  • Willingness to work onsite

Work Rights

Not specified

Tailored Resume

Cover Letter