Supervisory Control Associate Manager

About this role:

Wells Fargo is seeking a Supervisory Control Associate Manager.

In this role, you will:

• Supervise registered individuals, supervisory principals and reviewers in day to day operations
• Monitor progress to ensure timely completion, quality and compliance in all regulatory and firm policies
• Implement opportunities for department, firm or risk initiatives in regulatory and firm policies and day to day functionality operations
• Make day to day compliance and supervisory decisions, resolve issues related to ensuring firm and regulatory requirements are met
• Implement and monitor policies and procedures under direction of Supervisory Control
• Collaborate and consult with market managers, regional and branch staff and potential interaction with support departments
• Manage allocation of people and financial resources for Supervisory Control
• Mentor and guide talent development of direct reports and assist in hiring talent

Required Qualifications:

• 2+ years of Supervisory Control or Sales Supervision within Financial Services experience, or equivalent demonstrated through one or a combination of the following: work experience, training or education
• 1+ years of leadership experience

Desired Qualifications:

• Minimum of 1 year in a people manager role in a compliance, financial services or global banking set up
• Strong stakeholder management skills
• Strong communication skills
• Active FINRA Series 7 license

Job Expectations:

• Willing to work US hours
• Willing to work onsite (BGC office)
• This role requires a FINRA supervisory license.

Posting End Date:
17 Oct 2025
*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

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.

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. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .

Drug and Alcohol Policy

Wells 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.