Senior Supervisory Control Specialist

About the Role

Wells Fargo is seeking a Senior Supervisory Control Specialist to join the Centralized Promotional and Marketing Review team within the Client Relationship Group of Wealth and Investment Management. In this capacity, you will serve as the Qualified Supervisor responsible for reviewing promotional and marketing materials to ensure they align with firm policies and regulatory standards.

This role exists to bridge the gap between Financial Advisors and the firm's rigorous compliance framework. You will partner with advisors and practices to secure supervisory and compliance approval for their marketing initiatives, while also providing ongoing education on content and review processes. As a primary escalation point for risk, supervisory, and human capital matters, you will lead complex initiatives to implement controls and mitigate risks, advocating for advisors while maintaining a strong, compliance-driven culture.

Hiring Process & Requirements

Candidates must be located in the US and are required to obtain and maintain appropriate FINRA licenses, including Series 7, 9/10, 63, and 66 (or recognized equivalents), as well as a supervisory license (e.g., Series 24). Successful candidates must pass a FINRA background screening and meet enhanced financial fitness and criminal background standards. This position is not eligible for Visa sponsorship.

The hiring process includes a background check prior to hire. Wells Fargo will initiate the FINRA licensing review process upon offer acceptance. For specific FINRA qualification exams obtained after September 30, 2018, the Securities Industry Essentials (SIE) exam co-requisite is required.

Equal Opportunity & Culture

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.

Our culture emphasizes building strong customer relationships balanced with a strong risk-mitigating and compliance-driven approach. Employees are accountable for executing risk programs, adhering to policies, and making sound risk decisions commensurate with the business unit's risk appetite. We foster an environment of proactive monitoring, governance, and effective escalation.

Application & Accommodations

To request a medical accommodation during the application or interview process, please visit the Disability Inclusion page on the Wells Fargo Jobs website. Wells Fargo maintains a drug-free workplace and requires all candidates to directly represent their own experiences during the recruiting process. Third-party recordings are prohibited unless authorized by Wells Fargo.