Senior Supervisory Control Specialist - Westport

About This Role · Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management. · This role is responsible for supervisory oversight of practices within the Branch(es). You will ensure the firms' requ ...

Job description

About This Role

Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management.

This role is responsible for supervisory oversight of practices within the Branch(es). You will ensure the firms' requirements for supervision are in adherence with regulatory, compliance and legal requirements.

The Senior Supervisory Control Specialist understands the complexity, partnership needs and customer service requirements that come with managing this process.

You will work with business partners and the field as needed to navigate the firm's solutions to provide the best resolutions for them and their clients, all while mitigating risk.

You must act with integrity and a high level of professionalism with all levels of employees and management across the organization and Independent Offices.

Additionally, you will partner with areas of Compliance, Legal and the Line of Business, as needed, in addressing concerns and issues as it relates to the Wells Fargo Clearing Services (WFCS) Financial Advisors and associated Brokerage locations.

Learn more about the career areas and lines of business at .

In This Role, You Will

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


Required Qualifications:

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 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

US Only:
Successfully completed Financial Industry Regulatory Authority (FINRA) Series 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration


Desired Qualifications:
4+ years of financial services industry experience
Experience in branch office supervision, compliance, broker-dealer governance, sales supervision
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


Job Expectations:

US Only:
Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required

This role requires a FINRA supervisory license and may require working in the assigned office location for at least one year from the hire date.

Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section 14 regulatory questions/disclosures, will be ineligible to work from a location other than their assigned office location
May be expected to travel up to 35% of the time

This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire.

In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer.

Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.

This position is not eligible for Visa sponsorship.


Job Location:
450 Post Road E., Westport, CT

Pay Range

Reflected is the base pay range offered for this position.

Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location.

Employees may also be eligible for incentive opportunities.

$104, $168,000.00

Benefits

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

Health benefits
401(k) Plan
Paid time off
Disability benefits
Life insurance, critical illness insurance, and accident insurance
Parental leave
Critical caregiving leave
Discounts and savings
Commuter benefits
Tuition reimbursement
Scholarships for dependent children
Adoption reimbursement


Posting End Date:
28 Feb 2026

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

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer.

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.

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.

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

Third-Party recordings are prohibited unless authorized by Wells Fargo.
Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

Reference Number

R-522088