Senior Supervisory Control Specialist

About this role:

Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Social Media /Website Review and Supervision team. This team plays a critical role in ensuring compliance across digital platforms for Client Relationship Group (CRG) and Financial Network (FiNet).

In this role, you will:

* Conduct centralized reviews of advisor websites, social media profiles, and interactive content to ensure adherence to firm policies and regulatory requirements.

* Serve as the primary Social Media expert for platforms such as Linked In, Facebook, and Broadridge.

* Act as a Subject Matter Expert (SME) on social media policies, providing guidance on communication, quality assurance, and reporting.

* Lead risk management efforts within the Client Relationship Group (CRG) and Financial Network (FiNet), focusing on supervisory and human capital risks.

* Identify regional risks, recommend effective solutions, and implement controls to mitigate potential issues.

* Analyze risk trends across markets, complexes, and branches, ensuring consistent resolution and fostering a strong control environment.

* Drive complex initiatives aimed at strengthening controls and mitigating risks, while assessing the effectiveness of implemented measures.

* Serve as the lead reviewer and resolver for escalated supervisory, risk, and human capital matters.

* Collaborate with cross-functional teams-including supervision, legal, compliance, HR, credit, and risk leadership-to identify and address regional risks.

* Provide recommendations and implement controls leveraging deep knowledge of firm policies and procedures.

* Consult with business, governance, and compliance leaders to evaluate and mitigate risk exposure.

* Partner with leadership across markets, complexes, branches, and hubs to promote risk awareness and control effectiveness.

* Mentor and support less experienced Supervisory Control Specialists, fostering professional development and knowledge sharing.

Required Qualifications:

* 4+ years 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, 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

* US Only:
Successfully completed Financial Industry Regulatory Authority (FINRA) Series 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired

Qualifications:

* Proficient with compliance and supervision tools such as Adtrack, Broadridge, Engage, MyMarketing, Proofpoint, and Scout for monitoring and reporting activities.

* Strong time management skills with the ability to prioritize multiple tasks and meet deadlines in a fast-paced environment.

* Experience in training and coaching team members or peers, including mentoring less experienced Supervisory Control Specialists.

* Expertise in social media compliance including reviewing profiles and interactive content for adherence to firm policies and regulatory standards.

* Demonstrated ability to lead risk management initiatives, identify supervisory and human capital risks, and implement effective controls across regions.

* Collaborative mindset with experience partnering across supervision, legal, compliance, human resources, credit, risk, and leadership teams to resolve escalations and mitigate risks.

* Strong verbal, written, and interpersonal communication skills

* FINRA registration including Series 24 (or FINRA recognized equivalents)

Job Expectations:

* 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 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…