Wells Fargo Supervisory Control Associate 

United States, Pennsylvania 

2031527

In this role, you will:

• Participate or conduct compliance, supervision, control reviews, administration and technology
• Design risk processes and provide project management support
• Identify issues and provide resolution within Insurance or Private Client Groups
• Perform basic or tactical ongoing regulatory, compliance and operational reviews as well as other duties related to best practices and opportunities for additional synergies to maximize efficiencies
• Receive direction from management and exercise independent judgment while developing an understanding of sales activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies
• Collaborate and consult with financial advisors, branch managers, supervisory principals and Market Administration Management

Required Qualifications:

• 6+ months 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 and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

​Desired Qualifications:

• Experience partnering with business, compliance and supervision 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 manage multiple and competing priorities
• 6+ months of financial services industry experience
• Experience in compliance or broker-dealer governance

Job Expectations:

• US only: Registration for FINRA Series 9/10 must be completed within a 90-day or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted.
• 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
• Ability to travel up to 25 percent of the time
• 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 regulatoryquestions/disclosures,
• This position is not eligible for Visa sponsorship.

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

Job Location:

• 3 Lemoyne Dr – Lemoyne, Pennsylvania
• 221 W Philadelphia St – York, Pennsylvania
• 4905 W Tilghman St – Allentown, Pennsylvania
• 1250 Broadcasting Rd – Reading, Pennsylvania
• Preferred locations listed above. Other locations within the greater Pennsylvania Market may be considered. Relocation assistance is not available for this position.

25 Mar 2025

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.