Supervisory Control Associate
7 days ago
About this role:
Wells Fargo is seeking a Supervisory Control Associate...
- Be part of the Front-Line Market conduct and supervision team and responsible for analysis of ecommunications 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 recordings
- Support the development of surveillance controls to identify misconduct and market abuse, including in the testing of next generation electronic communications systems and perform firstlineofdefense 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 ecommunications and voice recordings.
- Identify any noncompliant 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
Required Qualifications:
- 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.
Additional Requirements:
- Experience with ecommunications surveillance platforms and tools
- Experience 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 detail
- An understanding of the regulatory environment and expectations, relevant regional regulations and codes of practice
- Must 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 problemsolving 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 table
- Selfmotivated, enthusiastic and proven rapid leaning capability and Ability to act proactively and independently.
- Demonstrated ability to handle multiple tasks in a fastpaced environment.
- Experience with Digital Reasoning, Actimize or ecommunications surveillance platforms and tools
About this role:
Wells Fargo is seeking a Supervisory Control Associate...
- Be part of the Front-Line Market conduct and supervision team and responsible for analysis of ecommunications 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 recordings
- Support the development of surveillance controls to identify misconduct and market abuse, including in the testing of next generation electronic communications systems and perform firstlineofdefense 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 ecommunications and voice recordings.
- Identify any noncompliant 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
Required Qualifications:
- Bachelor's/master's degree or any professional degree (CA/CS/CFA etc.) is required.
- 4+ years of Supervisory Control/E-Comms Surveillance and monitoring experience, or equivalent.
Additional Requirements:
- Experience with ecommunications surveillance platforms and tools
- Experience with lexicon or behavioral model based targeted reviews.
- Experience of reviewing and development of lexicons/Lexicons refine
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