About this role:

Wells Fargo is seeking a Supervisory Control Specialist

In this role, you will:

Participate and consult regarding policies and procedures, controls, tools and training

Identify opportunities for additional synergies and to maximize efficiencies within the private client groupReview and analyze controls to manage high risk investment strategies and complex productsEvaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancementsPresent recommendations for resolving complex analysis in search of current and best practicesGather and analyze data, identify trends and present analysis through meaningful statisticsDevelop expertise in firm, compliance and regulatory policies and proceduresCollaborate and consult with Financial Advisors, Regional and more experiencedManagement, Private Client Group, Branch Managers, Operation Managers, Supervision Managers, and varying Business Union

Required Qualifications:

2+ years of Supervisory Control, Corporate Insurance Risk, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

Bachelor’s/master’s degree or any professional degree (CA/CS/CFA etc.) is required.6+ years of Supervisory Control/E-Comms Surveillance and monitoring experience, or equivalent.Be part of the Front-Line Market conduct and supervision team and responsible for analysis of e-communications alerts to identify unusual activity and potential market conduct issues. As part of the Corporate Investment Banking E-Communications Surveillance monitoring including internal and external including corporate e mail, Chat, & voice recordingsSupport the development of surveillance controls to identify misconduct and market abuse, including in the testing of next generation electronic communications systems and perform first-line-of-defense activities in relation to consequential risks.Perform basic or tactical ongoing regulatory and operational reviews as well as other duties related to best practices and opportunities for additional synergies to maximize efficiencies.Collaborate and consult with Onshore teams and India Management for any escalations and process improvement ideas.Conducting routine reviews and ad hoc reviews of employee e-communications and voice recordings.Identify any non-compliant or suspicious activity and escalate questionable electronic communications to the onshore team (L2 team)Assisting with analysis and implementation of new and enhanced surveillance reviews and processes

Job Expectations:

Ability to travel up to 25 percent of the timeThis role requires a FINRA supervisory license and may require working in the assigned office location for at least one year from the hire date. Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section 14 regulatory questions/disclosures, will be ineligible to work from a location other than their assigned office locationExperience with e-communications surveillance platforms and toolsExperience with lexicon or behavioral model based targeted reviews.Experience of reviewing and development of lexicons/Lexicons refinement or behavioral models.Excellent analytical skills and strong attention to detailAn understanding of the regulatory environment and expectations, relevant regional regulations and codes of practiceMust exhibit highest standards of integrity and maintain confidentiality.Additional Language skills apart from English language would be an added advantage.Additional surveillance experience in Voice, Trade, Information Barrier or Control room will be an added advantage.Excellent presentation, Power point, Business communication skills (written and spoken) and problem-solving skills.Experience in creating MIS for senior management.Interfacing with relevant stakeholders to review and escalate potential market conduct issues.Remain updated on developments and changes concerning relevant regulatory regulations.Develop and maintain a good understanding of the Firm's business groups and products in accordance with the relevant processes and procedures with a view to expanding and improving existing coverage.Actively participate in team meetings. Bringing solutions / suggestions / recommendations to the tableSelf-motivated, enthusiastic and proven rapid leaning capability and Ability to act proactively and independently.Demonstrated ability to handle multiple tasks in a fast-paced environment.Experience with Digital Reasoning, Actimize or e-communications surveillance platforms and toolsActively participate in team meetings. Bringing solutions / suggestions / recommendations to the tableSelf-motivated, enthusiastic and proven rapid leaning capability and Ability to act proactively and independently.Demonstrated ability to handle multiple tasks in a fast-paced environment.Experience with Digital Reasoning, Actimize or e-communications surveillance platforms and tools

Posting End Date: 

*Job posting may come down early due to volume of applicants.

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

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 US: 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.

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.