Wells Fargo ยท 12 hours ago
Supervisory Control Associate
SAINT LOUIS, MO
Full-time
Onsite
New Grad, Entry Level
$68K/yr - $114K/yr
0+ years expWells Fargo Advisors is seeking a Supervisory Control Associate responsible for providing support for compliance supervision within the Private Client Group and Wealth Brokerage Services. The role involves conducting compliance reviews, designing risk processes, and collaborating with financial advisors and branch managers to ensure adherence to regulatory and firm policies.
BankingFinancial ServicesFinTechInsurancePayments
No H1B
Responsibilities
Participate or conduct compliance, supervision, control reviews, administration and technology
Design risk processes and provide project management support
Identify issues and provide resolution within Insurance or Private Client Groups
Perform basic or tactical ongoing regulatory, compliance and operational reviews as well as other duties related to best practices and opportunities for additional synergies to maximize efficiencies
Receive direction from management and exercise independent judgment while developing an understanding of sales activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies
Collaborate and consult with financial advisors, branch managers, supervisory principals and Market Administration Management
Qualification
Required
6+ months 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
Preferred
Strong analytical skills including strategically analyzing data, diagnosing opportunities, and providing interventions
Solid conflict management and decision-making skills
Excellent verbal, written, and interpersonal communication skills
Ability to work independently while balancing the needs of multiple projects
Ability to be flexible and adjust plans quickly to meet changing business needs
Intermediate Microsoft Office (Word, Excel, and Outlook) skills
Ability to exercise independent judgment and creative problem-solving techniques
Ability to interact with all levels of branch associates and business units; including managers and advisors
FINRA registration including Series 65 or 66 (or FINRA recognized equivalents)
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
Company
Wells Fargo
Wells Fargo & Company is a financial services firm that provides banking, insurance, investments, and mortgage services.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
unknown1978-10-06IPO
Leadership Team
Charlie Scharf
CEO
Fernando Rivas
CEO of Corporate & Investment Banking
Recent News
Real Estate Capital Europe
2026-01-11
2026-01-09
Company data provided by crunchbase