Supervisory Control Associate

Wells Fargo Advisors in St. Louis, MO, is seeking a detail-oriented Supervisory Control Associate to bolster compliance supervision for its branches. This remote role is crucial for ensuring adherence to regulations by providing remote sales supervision, conducting thorough compliance reviews, and fostering collaboration with various internal teams. Responsibilities include supporting Supervisory Control Specialists, offering oversight for WellsTrade, PCG, WBS, and IRT channels, and assisting branch offices with ongoing monitoring. The Associate will work closely with regional and branch staff to uphold compliance policies, resolve issues, and conduct client account approvals. Key duties also involve participating in compliance and supervision reviews, administering technology, designing risk processes, and providing project management support. The role requires identifying and resolving issues within Wealth Brokerage Service or Private Client Groups, assisting with branch risk management oversight, and performing regulatory, compliance, and operational reviews. Successful candidates will receive direction from management while exercising independent judgment and utilizing various technological tools to ensure compliance with regulatory and firm policies. Collaboration with financial advisors, branch managers, supervisory principals, and other departments is essential. Additional duties may be assigned by the Supervision Manager.