Supervisory Control Specialist
7 days ago
We are seeking a highly skilled Supervisory Control Specialist to join our team at Wells Fargo Bank. In this role, you will be responsible for participating and consulting regarding policies and procedures, controls, tools, and training. You will also identify opportunities for additional synergies and to maximize efficiencies within the private client group.
Key Responsibilities:- Participate and consult regarding policies and procedures, controls, tools, and training
- Identify opportunities for additional synergies and to maximize efficiencies within the private client group
- Review and analyze controls to manage high-risk investment strategies and complex products
- Evaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancements
- Present recommendations for resolving complex analysis in search of current and best practices
- Gather and analyze data, identify trends, and present analysis through meaningful statistics
- Develop expertise in firm, compliance, and regulatory policies and procedures
- Collaborate and consult with Financial Advisors, Regional, and more experienced Management, Private Client Group, Branch Managers, Operation Managers, Supervision Managers, and varying Business Units
- 2+ years of Supervisory Control, Corporate Insurance Risk, 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
- Bachelor's/master's degree or any professional degree (CA/CS/CFA etc.) is required
- 2+ years of Supervisory Control/E-Comm Surveillance and monitoring experience, or equivalent
- Ability to travel up to 25 percent of the time
- 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
- 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
- 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
- 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, PowerPoint, 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 learning 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
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