SeniorSupervisoryControlSpecialist

**About this role:** Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management. This role is responsible for supervisory oversight of practices within the Branch(es). You will ensure the firms’ requirements for supervision are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands the complexity, partnership needs and customer service requirements that come with managing this process. You will work with business partners and the field as needed to navigate the firm’s solutions to provide the best resolutions for them and their clients, all while mitigating risk. You must act with integrity and a high level of professionalism with all levels of employees and management across the organization and Independent Offices. Additionally, you will partner with areas of Compliance, Legal and the Line of Business, as needed, in addressing concerns and issues as it relates to the Wells Fargo Clearing Services (WFCS) Financial Advisors and associated Brokerage locations. Learn more about the career areas and lines of business at [wellsfargojobs.com](https://www.wellsfargojobs.com/career-areas/). **In this role, you will:** * Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations * Have responsibility to supervise the activities of representatives (e.g., financial advisors) to ensure their compliance with FINRA and SEC rules and regulations, as well as federal and state laws * Implement and monitor policies and procedures * Provide regular reporting to Governance Leadership, Markets and Division to ensure that the activity complies with all regulatory and firm policies * Make decisions and resolve issues regarding compliance, supervision policies, practices, hiring, disciplinary actions and training * Monitor sales review activities, coordinate proper staff and coverage and develop and i