Senior Supervisory Control Specialist
External
Wells Fargo · Charlotte, NC$87K–$154K/yrFull-timeOn-siteToday
Compliance
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About the role
Serve as a Qualified Supervisor overseeing governance for high-net-worth Financial Advisors, ensuring compliance with FINRA/SEC and firm policies. Monitor and implement supervisory controls, approve pre-clearance, handle reassignments, complaint reviews, and email surveillance. Partner with Compliance, Legal, Risk and business stakeholders, produce governance reporting, make supervisory decisions, and manage resource allocation to mitigate regulatory and operational risk.
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