About this role:

Wells Fargo is seeking a Supervisory Control Associate to join our Client Relationship Group within Wealth and Investment Management. Learn more about the career areas and lines of business at wellsfargojobs.com.

In this role, you will:

Participate or conduct compliance, supervision, control reviews, administration and technologyDesign risk processes and provide project management supportIdentify issues and provide resolution within Insurance or Private Client GroupsPerform 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 efficienciesReceive 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 policiesCollaborate 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, educationUS only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

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Desired Qualifications:

Experience partnering with business, compliance and supervision partners to address concerns, resolve complex issues and provide solutionsAbility to exercise independent judgment to identify and resolve problemsAbility to interact with all levels of employees and management across the organization and Independent OfficesExcellent verbal, written, and interpersonal communication skillsNegotiating, conflict-management, and decision-making skillsAbility to take initiative, work independently, identify opportunities, and implement changeAbility to manage multiple and competing priorities6+ months of financial services industry experienceExperience 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 requiredAbility to travel up to 25 percent of the timeThis 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 locationThis 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:

100 N 18th St – Philadelphia, Pennsylvania 19103

1 Fayette St, 2 Twr Bridge, Ste 200 – Conshohocken, Pennsylvania 19428

2005 S Easton Rd Ste 108 – Doylestown, Pennsylvania 18901

150 Radnor-Chester Rd – Wayne, Pennsylvania 19087

955 Chesterbrook Blvd Ste 320 – Wayne, Pennsylvania 19087

Preferred locations listed above. Other locations within the greater Pennsylvania Market may be considered. Relocation assistance is not available for this position.

Posting End Date: 

29 Aug 2025

*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.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

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:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

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