Senior Leadership Risk Manager

2 weeks ago


Bengaluru, Karnataka, India WELLS FARGO BANK Full time

Job Summary:

This role requires a Senior Supervisory Control Specialist to lead or participate in risk management, including supervisory risk and human capital risk within the private client group.

Key Responsibilities:

• Lead or participate in risk management, including supervisory risk and human capital risk within the private client group

• Contribute to identify risks in the region and implement controls to mitigate risks

• 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 or participate in complex initiatives to implement controls and mitigate risks

• Serve as an escalation point for risk, supervisory, and human capital matters

• Collaborate with supervision, legal, compliance, human resources, credit, risk, branch, and hub leadership to identify risks in the region

• Implement controls to mitigate risks while leveraging solid understanding of the firm's policies and procedures

• Collaborate and consult with director of private client group, business risk management and the Regional President to identify region risks

• Partner with supervision, legal, compliance, human resources, credit, risk, market, complex, branch, and hub leadership

Required Qualifications:

• 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

Desired Qualifications:

• 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

• Bachelor's/master's degree or any professional degree (CA/CS/CFA etc.) is required.

• 8+ years of Supervisory Control/E-Comms Surveillance and monitoring experience, or equivalent.

Job Expectations:

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. Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section 14 regulatory questions/disclosures, will be ineligible to work from a location other than their assigned office location



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