Supervisory Control Associate
$55,300 - $98,300/Yr
Wells Fargo - Charlotte, NC
posted 2 months ago
Full-time - Entry Level
Charlotte, NC
Credit Intermediation and Related Activities
About the position
Wells Fargo Advisors is seeking a Supervisory Control Associate to support branches in remote compliance supervision for the Private Client Group and Wealth Brokerage Services. This role involves conducting compliance reviews, designing risk processes, and collaborating with financial advisors and branch managers to ensure adherence to regulatory and firm policies.
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.
- Collaborate and consult with financial advisors, branch managers, supervisory principals and Market Administration Management.
Requirements
- 6+ months of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent.
- Successfully completed FINRA Series 7 and 63 examinations (or FINRA recognized equivalents).
Nice-to-haves
- Strong analytical skills including strategically analyzing data and diagnosing opportunities.
- 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.
- Intermediate Microsoft Office (Word, Excel, and Outlook) skills.
- Ability to exercise independent judgment and creative problem solving techniques.
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
