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 and 66 (or 63 and 65) examinations (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 9/10 (or FINRA recognized equivalents)

Life & Health Insurance licenses

 

Job Expectations:

US Only: Registration for FINRA Series 9/10 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, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 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.

This position is not eligible for Visa sponsorship.

Job Locations:

2801 Market St., F & L Bldg. St. Louis, Missouri

550 S Tryon St. Charlotte, North Carolina

550 S. 4th St. Minneapolis, Minnesota

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.

$63,600.00 - $124,300.00

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 benefits401(k) PlanPaid time offDisability benefitsLife insurance, critical illness insurance, and accident insuranceParental leaveCritical caregiving leaveDiscounts and savingsCommuter benefitsTuition reimbursementScholarships for dependent childrenAdoption reimbursement

Posting End Date:

19 Jul 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.

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.