Supervisory Control Manager Full-Time

About this role:

Wells Fargo is seeking a Supervisory Control Manager.

In this role, you will:

• Manage and develop a team of analysts, principals, reviewers, supervisors and managers
• Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations
• Identify and recommend opportunities for coordinating proper staffing and coverage
• Implement and monitor policies and procedures
• Provide regular reporting to branches, regions and channels to ensure that the activity is in compliance with all regulatory and firm policies
• Make decisions and resolve issues regarding compliance, supervision policies, practices, hiring and training
• Monitor sales review activities, coordinate proper staff and coverage and develop and implement training plans within Wealth Brokerage Services to meet business objectives
• Collaborate and consult with more experienced management
• Meet regularly with risk and business partners as well as serve as a primary business contact on key initiatives with Wealth, Compliance, Risk, regional management and other home office departments
• Manage allocation of people and financial resources for Supervisory Control
• Mentor and guide talent development of direct reports and assist in hiring talent

Required Qualifications:

• Experience in Supervisory Control. Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage, or equivalent demonstrated through one or a combination of the following: work experience, training, education
• 2+ years of leadership experience

Desired Qualifications:

• Minimum of 2 years experience in a manager capacity
• Active FINRA License Series 7, required
• Active FINRA License Series 63, preferred
• Strong communication skills and stakeholder experience
• Project Management

Job Expectations:

• Ability to work US hours
• Ability to work onsite (BGC office)

Posting End Date:

28 Mar 2025

*Job posting may come down early due to volume of applicants.

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.