Wells Fargo · 7 hours ago
Senior Supervisory Control Specialist
Minneapolis, MN
Full-time
Onsite
Mid, Senior Level
4+ years expWells Fargo is seeking a Senior Supervisory Control Specialist to join their Centralized Promotional and Marketing Review team within the Client Relationship Group in Wealth and Investment Management. The role involves reviewing promotional and marketing materials, managing risk, and collaborating with financial advisors to ensure compliance and supervisory approval.
BankingFinancial ServicesFinTechInsurancePayments
No H1B
U.S. Citizen Only
Responsibilities
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
Qualification
Required
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
Preferred
4+ years of Marketing review experience a plus
Experience facilitating and delivering education or other related facilitation experience such as group meetings or presentations
Ability to exercise independent judgment and creative problem-solving techniques
Ability to communicate accurately and be able to provide a clear and concise written response
Working knowledge and understanding of Smart Station, InfoMax, Adtrax, Salesforce
Ability to negotiate, influence, and collaborate to build successful relationships
Ability to interact with all levels of branch associates and business units; including managers and advisors
Ability to work effectively in a structured but flexible, adaptable, and changing dynamic and complex environment
Strong time management skills and ability to meet deadlines
FINRA registration including Series 24 (or FINRA recognized equivalents)
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
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2026-01-22
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2026-01-22
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