Supervisory Control Specialist for Operations BIRMINGHAM RECRUITMENT 2025

A Supervisory Control Specialist is needed to join Wells Fargo’s Wealth and Investment Management Client Relationship Group. Visit www.wellsfargojobs.com  to find out more about the business divisions and career paths.

In this position, you’ll:

• Engage and provide input on training, tools, controls, and policies and procedures.
• Examine and evaluate controls to oversee complicated products and high-risk investing methods.
• Assess available resources to keep an eye on risks and use your own discretion to direct process modifications, upgrades, and technological advancements.
• Provide suggestions for resolving complex analyses while looking for the most up-to-date and effective methods.
• Collect and evaluate information, spot patterns, and display findings using insightful statistics.
• Gain knowledge of company, regulatory, and compliance policies and procedures.
• Consult and cooperate with different business units, market leaders, growth leaders, branch managers, supervision managers, financial advisors, and divisional and more seasoned management.

Supervisory Control Specialist for Operations BIRMINGHAM RECRUITMENT 2025

Essential Requirements:

• Two or more years of experience in property or casualty insurance, corporate insurance risk, risk management consulting, supervisory control, insurance brokerage, or a similar role as evidenced by one or more of the following: education, training, military experience, and work experience
• Only in the United States: Passed the Financial Industry Regulatory Authority’s (FINRA) Series 7, 9/10, and 66 exams (or their approved equivalents) in order to be eligible for instant FINRA registration.

Desired Credentials:

• Experience working with business, compliance, and supervision partners to address concerns, manage complicated issues, and give solutions; two or more years of experience in the financial services industry; and knowledge of compliance or broker-dealer governance
• Capacity to use autonomous judgment to recognize and address issues
• Capacity to communicate with management and staff at various organizational and independent office levels
• Outstanding interpersonal, written, and vocal communication abilities
• Decision-making, negotiation, and conflict-resolution abilities Self-motivation, independence, opportunity recognition, and change implementation Capacity to oversee conflicting priorities

Expectations for the job:

• Having the capacity to travel up to 25% of the time
• US Only: To continue working in this role, you must obtain and/or maintain the necessary FINRA license or licenses. It is essential to adhere to the registration and licensing requirements set forth by state law. Certain product licenses or SAFE licensing may be applicable in addition to state registration and licensing requirements. Fulfilling expanded financial fitness and criminal background standards are additional prerequisites. When the offer is accepted, Wells Fargo will start the FINRA licensing review procedure. The Securities Industry Essentials (SIE) exam co-requisite is necessary for some FINRA qualifying exams taken after September 30, 2018.
• A FINRA supervisory license is necessary for this position, and it may be necessary to work at the designated office for at least a year after the hire date. Employees in supervisory roles with FINRA supervisory licenses who have responded in the affirmative to specific regulatory inquiries and disclosures on Form U4 Section 14 will not be permitted to operate from any location other than their designated office.

The successful completion and clearance of a background check is one of the FINRA Background Screening Requirements for this position. Internal transfers must adhere to FINRA Bylaws, Article III, Section 3, which says that Associated Persons should not be subject to statutory disqualification, and 17 CFR 240.17f-2 of the Securities Exchange Act of 1934. Along with meeting continuing regulatory requirements, such as extra screening, successful candidates must also disclose specific instances.

Visa sponsorship is not available for this post.

Job Location:

• 2501 20th Pl S Birmingham, AL
• 1250 Poydras St. New Orleans, LA
• 1020 Highland Colony Pkwy Ridgeland, MS

Date of Posting End: August 15, 2025 The number of candidates may cause the job ad to expire early.

Equal opportunity is important to us.

Wells Fargo offers equitable employment opportunities. The hiring process shall be open to all eligible candidates regardless of their race, color, religion, sex, sexual orientation, gender identity, national origin, handicap, protected veteran status, or any other legally protected trait.

Workers back our emphasis on creating enduring relationships with customers while maintaining a strong culture of risk mitigation and compliance, which firmly defines those standards as essential to the success of both our clients and our business. Effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, promptly and effectively escalating and remediating issues, and making prudent risk decisions are all part of their accountability for the execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance). Proactive monitoring, governance, identifying and escalating risks, and making prudent risk decisions in line with the business unit is risk appetite and all risk and compliance program requirements are prioritized.

Workers back our emphasis on developing solid customer relationships while maintaining a strong risk-reduction and compliance-driven culture, which firmly defines those standards as essential to the success of both our clients and our business. They are in charge of carrying out all relevant risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes making wise risk decisions, timely and efficient escalation and remediation of issues, appropriately fulfilling risk and compliance obligations, and effectively following and adhering to applicable Wells Fargo policies and procedures. Proactive monitoring, governance, risk detection and escalation, and making prudent risk decisions in line with the business unit is risk appetite and all risk and compliance program requirements are prioritized.

Applicants with Disabilities

Go to Wells Fargo’s Disability Inclusion page to request a medical accommodation during the application or interview process.

Drug and Alcohol Policy

Drugs are not allowed at Wells Fargo. For further information, please refer to our Drug and Alcohol Policy.

Wells Fargo Recruitment and Hiring Requirements:

• Third-party recordings are not allowed unless Wells Fargo gives permission.
• When applying for jobs at Wells Fargo, you must speak clearly about your personal experiences.