From Wells Fargo's posting. “We” and “our” refer to the employer.
About this role:
Wells Fargo is seeking a Supervisory Control Specialist to join our Annuities and Insurance Supervision Unit within Wealth & Investment Management. Learn more about the career areas and lines of business at www.wellsfargojobs.com
In this role, you will:
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.
Required Qualifications:
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 (or 24 where applicable), and 63 (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
Desired Qualifications:
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 65 (or 66) (or FINRA recognized equivalents)
Life & Health Insurance licenses
Job Expectations:
US Only: Registration for Series 65 (or 66) must be completed within a 90 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. This will be communicated at time of offer acceptance.
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 may also be required.
State Life & Health Insurance license requirements must be completed within 90 days of hire date. Compliance with state law requirements 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.
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 Posting Locations:
2801 Market St., F & L Bldg. St. Louis, Missouri
550 S Tryon St. Charlotte, North Carolina
5201 W. Amelia Earhart Drive Salt Lake City, UT
Posting End Date:
4 Oct 2026 *Job posting may come down early due to volume of applicants.
We Value Equal Opportunity
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.
Employer application notice
Equal opportunity and accommodations
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.
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LAYIQ is an independent job-discovery service. This listing does not imply a partnership with or endorsement by the employer. Review the original posting for current details and availability.
