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
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

Wells Fargo provides a variety of financial services including banking, mortgages, investments, credit cards, and personal and commercial financial solutions. The company serves individual consumers, small businesses, and large corporations, offering customized services to meet different financial needs. Its products work through a network of branches and ATMs, as well as online and mobile banking platforms, ensuring convenience and security for users. Unlike many competitors, Wells Fargo has a broad range of specialized services such as financial planning and wealth management, which cater to clients with diverse financial goals. The company's goal is to enhance customer success by continually improving its services and maintaining a strong focus on security and innovation.

Company Stage

IPO

Total Funding

$222.1M

Headquarters

San Francisco, California

Founded

1851

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Simplify's Take

What believers are saying

  • Increased focus on digital banking solutions enhances customer engagement and service efficiency.
  • The rise of sustainable finance creates opportunities for green investment products.
  • Blockchain integration enhances security and efficiency in cross-border transactions.

What critics are saying

  • Increased competition in the credit facility market may impact Wells Fargo's market share.
  • Pressure to offer sustainable financing options due to competitors securing green loans.
  • Competitive refinancing environment could affect Wells Fargo's profitability.

What makes Wells Fargo unique

  • Wells Fargo offers a wide range of tailored financial solutions for diverse clients.
  • The company leverages a robust online and mobile banking platform for customer convenience.
  • Wells Fargo's extensive branch and ATM network enhances its service accessibility.

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Benefits

Health Insurance

401(k) Retirement Plan

Paid Vacation

Paid Sick Leave

Parental Leave

Disability Insurance

Life Insurance

Tuition Reimbursement

Commuter Benefits

Adoption Assistance