Wells Fargo · 4 hours ago
Supervisory Control Associate
St Louis, MO
Full-time
Onsite
New Grad, Entry Level
0+ years expWells Fargo is seeking a Supervisory Control Associate to join the Central Supervision Unit as part of Wealth & Investment Management. The role involves performing analysis of findings and trends, conducting regulatory and compliance reviews, and collaborating with various stakeholders to improve operational efficiencies and ensure compliance with regulations.
BankingFinancial ServicesFinTechInsurancePayments
No H1B
Responsibilities
Perform analysis of findings and trends using statistical analysis and document processes, including Retirement Asset Movement and electronic communications and as needed
Perform basic or tactical ongoing regulatory, compliance and operational reviews related to recommendations and suitability for retirement accounts, moving assets 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, retirement asset movement of QRP to IRA rollovers, electronic communications and ad hoc activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies
Identify and define business requirements and translate data and business needs into research and recommendations to improve operational efficiency, quality and compliance of sales, retirement assets, electronic communications and ad hoc activities
Develop customized reports and ad hoc analyses to make recommendations and provide guidance
Understand compliance and risk management requirements for supported area
Ensure adherence to data management or data governance regulations and policies
Participate in company initiatives or processes to assist in meeting risk and capital objectives and other strategic goals
Participate in all group technology efforts including design and implementation of database structures, analytics software, storage, and processing
Support off channel communications processes and address questions as needed for WIM
Collaborate and consult with financial advisors, branch managers, supervisory principals as well as more experienced consultants and with partners in technology and other business groups
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 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
Preferred
Conflict management and decision-making skills
Excellent verbal, written, and interpersonal communication skills
Basic Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
Ability to navigate multiple computer systems, applications, and utilize search tools to find information
Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
Ability to interact with all levels of branch associates and business units
Ability to exercise independent judgment to identify and resolve problems
Strong attention to detail and accuracy skills
FINRA registration including Series 66 (or FINRA recognized equivalents)
FINRA registration including Series 9/10 (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
2026-01-24
2026-01-23
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