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Supervisory Control Specialist

https://www.wellsfargo.com/ Logo

Wells Fargo

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Location:
United States , Saint Louis ▼

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Category:
Finance

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Contract Type:
Not provided

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Salary:

77000.00 - 133000.00 USD / Year
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Job Description:

Wells Fargo is seeking a Supervisory Control Specialist to join our Annuities and Insurance Supervision Unit within Wealth & Investment Management.

Job Responsibility:

  • Provide remote sales supervision and support of annuities and insurance transactions and activities within assigned branches and/or regions for Wells Fargo Advisors
  • Support branch offices with on-going monitoring to ensure compliance with internal policies, applicable laws and regulations
  • Provide ongoing training and education of annuities and insurance when responding to questions from Financial Advisors
  • Work closely with the regional and branch staff on compliance and supervision policies, practices and resolution of issues
  • Supervise specific sales activities on behalf of retail branch managers such as Annuities and Insurance
  • Monitor sales activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies
  • Assist branch offices in resolution of sales activity issues where appropriate
  • Escalate issues to the appropriate management level for resolution
  • Conduct orientation programs on responsibilities for new branch managers and support managers where appropriate
  • Participate and consult regarding policies and procedures, controls, tools and training
  • Identify opportunities for additional synergies and to maximize efficiencies within the private client group
  • Review and analyze controls to manage high risk investment strategies and complex products
  • Evaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancements
  • Present recommendations for resolving complex analysis in search of current and best practices
  • Gather and analyze data, identify trends and present analysis through meaningful statistics
  • Develop expertise in firm, compliance and regulatory policies and procedures
  • Collaborate and consult with Financial Advisors, Branch and Area Managers, CRG Regional Management, and other business units personnel and management.

Requirements:

  • 2+ years of Supervisory Control, Corporate Insurance Risk, 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

Nice to have:

  • Knowledge and understanding of Annuity and Insurance products
  • Conflict management and decision-making skills
  • Intermediate Microsoft Office skills
  • Strong negotiation skills
  • Excellent verbal, written, and interpersonal communication skills
  • Ability to interact with all levels of branch associates and business units
  • Strong attention to detail and accuracy skills
  • Strong time management skills
  • Strong research and documentation skills
  • Ability to work independently while balancing the needs of multiple projects
  • Ability to gather, organize, and interpret data
  • FINRA registration including Series 66 (or FINRA recognized equivalents)
  • Life & Health Insurance licenses
What we offer:
  • 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

Additional Information:

Job Posted:
January 25, 2026

Expiration:
February 01, 2026

Employment Type:
Fulltime
Work Type:
On-site work
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