Senior Supervisory Control Specialist

Wells Fargo Senior Supervisory Control Specialist YesterdaySaved Hybrid Charlotte, NC, USA 87K-154K Annually Senior level 87K-154K Annually Senior levelFintech • Financial ServicesServe 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.