Senior Supervisory Control Specialist

Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Centralized Promotional and Marketing Review team within our Client Relationship Group in Wealth and Investment Management. In this role, you will:

• Serve as the Qualified Supervisor to review Promotional and Marketing materials
• Lead or participate in risk management, including supervisory risk and human capital risk within the Client Relationship Group Promotional and Marketing Review Group
• Partner with Financial Advisors and Practices to help them gain supervisory and compliance approval for their Promotional and Marketing pieces
• Provide ongoing education related to the content and review process for promotional and marketing materials
• Partner with Financial Advisors and Practices with broad and different goals for their Promotion and Marketing of their practice
• Responsible for managing and prioritizing requests submitted to the queue
• Lead or participate in complex initiatives to implement controls and mitigate risks
• Lead as the primary escalation point for risk, supervisory, and human capital matters regarding Financial Advisors and practices Promotional and Marketing approvals
• Collaborate with supervision, legal, compliance, and others as needed areas to advocate for Financial Advisors/Practices on their Promotional and Marketing initiatives
• Implement controls to mitigate risks while leveraging solid understanding of the firm's policies and procedures
• Provide feedback and contribute to a growing team

Required Qualifications:

• 4+ years 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
• US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

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
• Additional requirements include meeting enhanced financial fitness and criminal background standards
• 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
• This position is subject to FINRA background screening requirements
• Candidates must successfully complete and pass a background check prior to hire
• This position is not eligible for Visa sponsorship

Job Locations:

• 2801 Market St St. Louis, Missouri 63103
• 5201 W Amelia Earhart Dr Salt Lake City, Utah 84116
• 100 Crescent Ct Dallas, Texas 75201
• 90 S 7th St Minneapolis, Minnesota 55402
• 1525 W W T Harris Blvd Charlotte, North Carolina 28262
• 550 S Tryon St Charlotte, North Carolina 28202
• 8601 N Scottsdale Rd - Scottsdale, Arizona 85253

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. $87,000.00 - $154,000.00

Benefits:

• 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

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.