Senior Risk Management Specialist
4 weeks ago
We are seeking a highly skilled Senior Supervisory Control Specialist to join our team at Wells Fargo Bank. As a key member of our organization, you will play a critical role in leading and participating in risk management initiatives, including supervisory risk and human capital risk within the private client group.
Key Responsibilities- Lead or Participate in Risk Management Initiatives: You will lead or participate in risk management initiatives, including supervisory risk and human capital risk within the private client group.
- Identify and Mitigate Risks: You will contribute to identifying risks in the region and implement controls to mitigate risks.
- Review and Address Risks: You will review and identify risks in the region, ensure that risks are appropriately addressed, and promote an effective control environment in markets, complexes, and branches.
- Lead Complex Initiatives: You will lead or participate in complex initiatives to implement controls and mitigate risks.
- Escalation Point: You will serve as an escalation point for risk, supervisory, and human capital matters.
- Collaboration and Consultation: You will collaborate with supervision, legal, compliance, human resources, credit, risk, branch, and hub leadership to identify risks in the region.
- Implement Controls: You will implement controls to mitigate risks while leveraging a solid understanding of the firm's policies and procedures.
- Partner with Leadership: You will partner with supervision, legal, compliance, human resources, credit, risk, market, complex, branch, and hub leadership.
- Experience: 4+ years 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.
- Front-Line Market Conduct and Supervision: You will 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.
- Surveillance Controls: You will 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.
- Regulatory and Operational Reviews: You will 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.
- Collaboration and Consultation: You will collaborate and consult with Onshore teams and India Management for any escalations and process improvement ideas.
- Employee E-Communications and Voice Recordings: You will conducting routine reviews and ad hoc reviews of employee e-communications and voice recordings.
- Non-Compliant or Suspicious Activity: You will identify any non-compliant or suspicious activity and escalate questionable electronic communications to the onshore team (L2 team).
- Analysis and Implementation: You will assisting with analysis and implementation of new and enhanced surveillance reviews and processes.
- Education: Bachelor's/master's degree or any professional degree (CA/CS/CFA etc.) is required.
- Experience: 8+ years of Supervisory Control/E-Comms Surveillance and monitoring experience, or equivalent.
- FINRA Supervisory License: This role requires a FINRA supervisory license and may require working in the assigned office location for at least one year from the hire date.
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