Supervisory Control Associate

Wells Fargo Advisors (WFA) in Charlotte, NC, is seeking a proactive Supervisory Control Associate to provide essential support to branches and their remote compliance supervision duties for Private Client Group (PCG) and Wealth Brokerage Services (WBS). This role is integral to maintaining sales supervision, conducting compliance monitoring, and ensuring adherence to stringent regulatory requirements through close collaboration with branch staff. Key responsibilities include supporting WFA Supervisory Control Specialists, providing remote sales supervision and ongoing monitoring for various channels including WellsTrade, PCG, WBS, and Institutional Retirement and Trust (IRT), ensuring compliance with internal policies and external regulations. The associate will work closely with regional and branch staff to address compliance and supervision issues, conduct client account approvals, and participate in compliance, supervision, and control reviews. This position also involves designing risk processes, providing project management support, identifying and resolving issues within Wealth Brokerage Service or Private Client Groups, and assisting with branch risk management oversight. The role requires performing regulatory, compliance, and operational reviews, utilizing technological tools and reports to ensure all activities comply with regulatory and firm policies, and collaborating with financial advisors, branch managers, supervisory principals, and other departments. This is a full-time, onsite position.