Supervisory Control Associate

2 weeks ago

Hyderabad Telangana, India Wells Fargo Full time

**About this role**:
Wells Fargo is seeking 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 resolution 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 direction from management and exercise independent judgment while developing an understanding of sales activities using various technological tools and reports to ensure that the activity is in 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 one or a combination of the following: work experience, training, military experience, 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 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 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 table
- Self-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

**Job Expectations**:

- Ability to travel 25 percent of the time may be required
- 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 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 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

**Posting End Date**:
28 Nov 2024
**Job posting may come down early due to volume of applicants.**

**We Value Diversity**

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 policie

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