Supervisory Control Associate

7 days ago

Hyderabad, Telangana, India WELLS FARGO BANK Full time
About this role:
Wells Fargo is looking for a Supervisory Control Associate.

In this role, you will:
  • Participate or conduct compliance, supervision, control reviews, administration, and technology
  • Design risk processes and provide project management support
  • Identify issues and provide resolutions within Insurance or Private Client Groups
  • Perform basic or tactical ongoing regulatory, compliance, and operational reviews as well as other duties related to best practices and opportunities for additional synergies to maximize efficiencies
  • Receive guidance from management and exercise independent judgment while developing an understanding of sales activities using various technological tools and reports to ensure compliance with all regulatory and firm policies
  • Collaborate and consult with financial advisors, branch managers, supervisory principals, and Market Administration Management
Required Qualifications:
  • 6+ months of Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through work experience, training, military experience, or education
Desired Requirements:
  • Bachelor's/master's degree or any professional degree (CA/CS/CFA, etc.) is required
  • 3+ years of Supervisory Control/E-Comms Surveillance and monitoring experience, or equivalent
  • Experience with e-communications surveillance platforms and tools
  • Experience with lexicon or behavior model-based targeted reviews
  • Excellent analytical skills and strong attention to detail
  • An understanding of the regulatory environment and expectations, relevant regional regulations and codes of practice
  • Must exhibit the highest standards of integrity and maintain confidentiality
  • Additional Language skills besides English would be an added advantage
  • Additional surveillance experience in Voice, Trade, Information Barrier, or Control room will be an added advantage
  • Excellent presentation, Powerpoint, Business communication skills (written and spoken), and problem-solving skills
  • Experience in creating Management Information Systems 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 to expand and improve existing coverage
  • Actively participate in team meetings, bringing solutions, suggestions, or recommendations to the table
  • Self-motivated, enthusiastic and proven rapid learning capability, 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
Job Expectations:
  • Ability to travel 25 percent of the time may be required
  • Be part of the Front-Line Market conduct and supervision team, responsible for analysis of e-communications alerts to identify abnormal activity and potential market conduct issues. Involved in Corporate Investment Banking E-Communications Surveillance monitoring including internal and external communication like corporate email, Chat, & voice recordings
  • Support the development of surveillance controls to identify misconduct and market abuse, including in the testing of next-generation electronic communication systems and perform first-line-of-defense activities regarding consequential risks
  • Perform basic or tactical ongoing regulatory and operational reviews as well as other duties related to best practices to maximize efficiencies
  • Collaborate and consult with Onshore teams and India Management for any escalations and process improvement ideas
  • Conduct routine reviews and ad hoc reviews of employee e-communications and voice recordings
Posting End Date: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, protected veteran status, or any other status protected by law. Employees support our focus on building strong customer relationships balanced with a strong risk-mitigating and compliance-driven culture, which is essential for the success of our customers and company. They are accountable for the execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), following and adhering to applicable Wells Fargo policies and procedures, fulfilling risk and compliance obligations, escalating and remediating issues, and making sound risk decisions. Emphasis is on proactive monitoring, governance, risk identification and escalation, and making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements. Candidates applying for US job openings will be considered without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status, or any other legally protected characteristic. Candidates applying for Canada job openings are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples, and visible minorities. Accommodation is available for applicants with disabilities 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.

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