Supervisory Control ManagerWells Fargo is seeking a Supervisory Control Manager to join our Client Relationship Group within Wealth and Investment Management as part of Wells Fargo Advisors.In this role you will:Have responsibility for the day-to-day administrative functioning of the branch offices within the Market, including supervisory oversight of the Registered and Unregistered Associates assigned to the MarketWork in partnership with the Market Leadership Management Team as well as Operations, Risk, Compliance, and Sales Teams to ensure firm and regulatory requirements are metRecruit, train and manage direct report personnel as assigned. Ensure the direct reports perform all daily, weekly, monthly, quarterly supervisory reviews and tasks within one or more Markets and any findings are reported for review, escalation, if necessary, and final resolutionAct as a liaison contact for home office escalations, inquiries, and initiativesServe as a liaison and escalation point for all other support areasExplain all policies and procedures to branch employees and ensures adherence to the policies and proceduresRequired Qualifications:5+ 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, education2+ years of leadership experienceUS 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 registrationDesired Qualifications:Strong client service skillsStrong attention to detail and accuracy skillsEffective organizational, multi-tasking, and prioritizing skillsStrong verbal, written, and interpersonal communication skillsAbility to provide leadership to a financial services teamAbility to process complex transactions and perform extensive research to resolve complex customer issuesJob Expectations:Ability to travel up to 25% of the timeUS 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 requiredThis 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.Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.This position is not eligible for Visa sponsorshipPosting Locations:999 3rd Ave - Seattle, Washington SW Barnes Rd Ste 290 & 295 - Portland, Oregon th Ave NE - Bellevue, Washington SW Meadows Rd, Suite 200 - Lake Oswego, Oregon SW 5th Ave - Portland, Oregon 97201Preferred location(s) listed above. Select locations within the Wells Fargo Northwest Market footprint may be considered.Pay Range$110,000.00 - $196,000.00BenefitsHealth benefits401(k) PlanPaid time offDisability benefitsLife insurance, critical illness insurance, and accident insuranceParental leaveCritical caregiving leaveDiscounts and savingsCommuter benefitsTuition reimbursementScholarships for dependent childrenAdoption reimbursementPosting End Date:21 Aug 2026* Job posting may come down early due to volume of applicants.We Value Equal OpportunityWells 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 commensurate with the business unit's risk appetite and all risk and compliance program requirements.Applicants with DisabilitiesTo request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.Drug and Alcohol PolicyWells 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.