Supervisory Control Specialist

About this role:

Wells Fargo is seeking a Supervisory Control Specialist to join the Client Relationship Group within the Centralized Supervision Ad Hoc team, part of Wealth & Investment Management. This role supports key supervisory and oversight functions and contributes to maintaining strong risk management and control practices across the organization.  Learn more about the career areas and lines of business at www.wellsfargojobs.com

In this role, you will:

• Conduct iCapital and Bank Priority Credit Line (WF Bank PCL) reviews

• Perform reviews of Alternative Investments and Securities‑Based Lending products

• Participate in and provide consultation on policies, procedures, controls, tools, and training

• Identify opportunities to enhance efficiencies and drive synergies within Integrated Brokerage

• Review and analyze supervisory controls supporting high‑risk investment strategies and complex products

• Evaluate resources used to monitor risk and exercise independent judgment to inform process improvements, process changes, and technology enhancements

• Develop and present recommendations to resolve complex issues, aligned with current and emerging best practices

• Gather and analyze data, identify trends, and present findings through meaningful metrics and statistics

• Build and maintain expertise in firm, compliance, and regulatory policies and procedures

• Collaborate and consult with Financial Advisors, Regional and Senior Management, Private Client Group, Branch Managers, Operations Managers, Supervision Managers, and cross‑functional Business Units

Required Qualifications:

• 2+ years of Supervisory Control, Corporate Insurance Risk, 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 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

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Desired Qualifications:

• Knowledge of Alternative Investments and Security-backed Lending products

• Ability to navigate complex scenarios and nuanced regulatory considerations

• Demonstrated ability to manage a high‑volume workload in a fast‑paced environment

• Strong time management and organizational skills with the ability to prioritize competing deadlines

• Effective conflict management and sound decision‑making capabilities

• Strong negotiation and influencing skills

• Intermediate proficiency in Microsoft Office (Word, Excel, and Outlook)

• Excellent verbal, written, and interpersonal communication skills

• Ability to effectively interact with all levels of branch associates and business units

• High level of attention to detail and accuracy

• Strong research, documentation, and analytical skills

• Ability to work independently while balancing multiple projects and priorities

• Ability to gather, organize, analyze, and interpret data to support risk and oversight activities

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. In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required.

• 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. Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section 14 regulatory questions/disclosures, will be ineligible to work from a location other than their assigned office location.

This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individual