Supervisory Control Associate

2 months ago

Hyderabad, India Wells Fargo Full time

**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 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

**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 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

**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 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

**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 e-communications 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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