Full-Time

Senior Supervisory Control Specialist

Posted on 1/8/2025

Wells Fargo

Wells Fargo

10,001+ employees

Provides banking, mortgage, and investment services

Fintech
Financial Services

Compensation Overview

$80.4k - $143kAnnually

Senior

No H1B Sponsorship

Bethesda, MD, USA

Primary location is Bethesda, MD.

Category
Risk Management
Finance & Banking
Required Skills
Risk Management

You match the following Wells Fargo's candidate preferences

Employers are more likely to interview you if you match these preferences:

Degree
Experience
Requirements
  • 4+ years of Supervisory Control, 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.
Responsibilities
  • Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations
  • Have responsibility to supervise the activities of representatives (e.g., financial advisors) to ensure their compliance with FINRA and SEC rules and regulations, as well as federal and state laws
  • Implement and monitor policies and procedures
  • Provide regular reporting to Governance Leadership, Markets and Division to ensure that the activity complies with all regulatory and firm policies
  • Make decisions and resolve issues regarding compliance, supervision policies, practices, hiring, disciplinary actions and training
  • Monitor sales review activities, coordinate proper staff and coverage and develop and implement training plans within CRG to meet business objectives
  • 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
Desired Qualifications
  • Experience partnering with business, compliance and operational partners to address concerns, resolve complex issues and provide solutions
  • Ability to exercise independent judgment to identify and resolve problems
  • Ability to interact with all levels of employees and management across the organization and Independent Offices
  • Excellent verbal, written, and interpersonal communication skills
  • Negotiating, conflict-management, and decision making skills
  • Ability to take initiative, work independently, identify opportunities, and implement change
  • Ability to lead projects/initiatives with high risk and complexity
  • Ability to manage multiple and competing priorities
  • 4+ years of financial services industry experience
  • Experience in branch office supervision, compliance, broker-dealer governance, sales supervision

Wells Fargo provides a variety of financial services, including banking, mortgages, investing, and credit solutions for personal, small business, and commercial clients. The company operates mainly in the United States and serves millions of customers through its branches, ATMs, and online platforms. Its products include checking and savings accounts, personal and business loans, credit cards, and investment advisory services. Revenue is generated through interest from loans, fees for banking services, and commissions from investment products. What sets Wells Fargo apart from its competitors is its extensive network and commitment to simplifying financial management for its clients.

Company Stage

IPO

Total Funding

$222.1M

Headquarters

San Francisco, California

Founded

1851

Simplify Jobs

Simplify's Take

What believers are saying

  • Investment in virtual commercial cards aligns with the trend of digital payment solutions.
  • Participation in accelerator programs drives innovation and access to new technologies.
  • The strategic review could streamline operations and focus on profitable segments.

What critics are saying

  • Increased competition in digital payment solutions from established fintech companies.
  • Potential market volatility and regulatory scrutiny in cryptocurrency investments.
  • Strategic uncertainty from selling the private-label credit card and POS financing unit.

What makes Wells Fargo unique

  • Wells Fargo offers a comprehensive range of financial services and products.
  • The company has a strong focus on digital banking and innovation.
  • Wells Fargo supports underserved small businesses through initiatives like the Open for Business Fund.

Help us improve and share your feedback! Did you find this helpful?

Benefits

Health Insurance

401(k) Retirement Plan

Paid Vacation

Paid Sick Leave

Parental Leave

Disability Insurance

Life Insurance

Tuition Reimbursement

Commuter Benefits

Adoption Assistance

INACTIVE