Wells Fargo
Supervisory Control Associate
$68K–$114K
CHARLOTTE, NC +3 · Full-time · Posted Oct 30, 2026
- Location
- CHARLOTTE, NC
IRVING, TX
SAINT LOUIS, MO
MINNEAPOLIS, MN - Experience
- 6+ months; equivalent demonstrated through work experience, training, military experience, or education is accepted.
- Visa sponsorship
- Not eligible for Visa sponsorship.
About the job
Supervises compliance and suitability reviews of new managed-account applications and related financial-advisor activity, identifying and resolving regulatory and operational issues.
What you'll do
- Conduct compliance, supervision, control, and operational reviews; use reports and technology to assess adherence to regulations and firm policies.
- Design risk processes, support projects, and identify and resolve issues within Insurance or Private Client Groups.
- Collaborate with financial advisors, branch managers, supervisory principals, and market administration management.
What they ask for
- At least 6 months of experience in Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, or Insurance Brokerage, or equivalent demonstrated through work experience, training, military experience, or education.
- US only: Successfully completed FINRA Series 7 and 63 examinations, or recognized equivalents, sufficient to qualify for immediate FINRA registration.
- FINRA supervisory license; required FINRA licenses must be obtained and maintained for ongoing employment, with applicable state registration and licensing requirements.
- Pass FINRA background screening and meet ongoing regulatory obligations.
Nice to have
- Strong analytical, conflict-management, decision-making, and communication skills.
- Intermediate Microsoft Office (Word, Excel, and Outlook) skills; Series 66 and/or Series 9/10 registration.
Pay
$75,000.00 - $114,000.00 USD Annual (base salary); $68,000.00 - $114,000.00 (base pay range; currency not specified)
Tools
Microsoft Office, Word, Excel, Outlook
Model-written summary · the original posting is authoritative