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
Supervise compliance and suitability reviews for new managed-account documentation and related sales activity, resolve issues, and support risk processes and operational controls.
What you'll do
- Conduct compliance, supervision, control, regulatory, and operational reviews; use tools and reports to assess adherence to regulatory and firm policies.
- Design risk processes, support project management, 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
- 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: FINRA Series 7 and 63 examinations, or recognized equivalents, sufficient to qualify for immediate FINRA registration.
- Obtain and maintain required FINRA licenses and comply with state registration and licensing requirements.
- Pass the required FINRA background screening before hire and meet ongoing regulatory obligations.
Nice to have
- Strong analytical skills and conflict-management and decision-making skills.
- Intermediate Microsoft Office (Word, Excel, and Outlook) skills; FINRA Series 66 and/or Series 9/10 registration.
Pay
$75,000.00 - $114,000.00 USD Annual (base pay); $68,000.00 - $114,000.00 (base pay)
Tools
Microsoft Office, Word, Excel, Outlook
Model-written summary · the original posting is authoritative