Supervisory Control Specialist

4 weeks ago

Hyderabad, India WELLS FARGO BANK Full time
About this role:

Wells Fargo is seeking a Supervisory Control Specialist

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

In this role, you will:
  • 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
Required Qualifications:
  • 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
Desired Qualifications:
  • Bachelor's/master's degree or any professional degree (CA/CS/CFA etc.) is required.
    6+ years of Supervisory Control/E-Comms Surveillance and monitoring experience, or equivalent.
Job Expectations:
  • Ability to travel up to 25 percent of the time
  • 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
    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
Posting End Date:

*Job posting may come down early due to volume of applicants.

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

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 policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.

  • Supervisory Control Specialist

    7 days ago

    Hyderabad, Telangana, India WELLS FARGO BANK Full time

    About this role:Wells Fargo is looking to hire a Supervisory Control Specialist to join their Front-Line Market Conduct and Supervision team. In this role, you will be responsible for analyzing e-communications alerts to detect unusual activity and potential market conduct issues. You will also participate in developing surveillance controls to spot...

  • 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...

  • Supervisory Control Associate

    6 days ago

    Hyderabad, Telangana, 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 ecommunications alerts to identify unusual activity and potential market conduct issues. As part of the Corporate Investment Banking E-Communications Surveillance monitoring including internal...

  • Supervisory Control Associate

    2 months ago

    Hyderabad, Telangana, 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...

  • Supervisory Control Associate

    3 weeks ago

    Hyderabad, Telangana, 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...

  • Supervisory Control Associate

    6 days ago

    Hyderabad, Telangana, India WELLS FARGO BANK Full time

    About this role:Wells Fargo is looking for a Supervisory Control Associate.In this role, you will:Participate or conduct compliance, supervision, control reviews, administration, and technologyDesign risk processes and provide project management supportIdentify issues and provide resolutions within Insurance or Private Client GroupsPerform basic or tactical...

  • Supervisory Control Associate

    4 weeks ago

    Hyderabad, Telangana, 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...

  • Supervisory Control Associate

    1 week ago

    Hyderabad, Telangana, 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...

  • Supervisory Control Associate

    2 days ago

    Hyderabad, Telangana, 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...

  • Specialist - Internal Controls

    2 days ago

    Hyderabad, India International Flavors & Fragrances Full time

    Req - 502995 Job Description Are you passionate about service excellence? Would you love to work for a global organisation that is doing more good for people and planet? IFF is a global leader in food, beverage, health, biosciences and sensorial experiences. We are now seeking a highly motivated and results driven individual to join our Finance...

  • Control Management Specialist

    6 days ago

    Hyderabad, Telangana, India WELLS FARGO BANK Full time

    About this Role:Wells Fargo is looking for a Control Management Specialist who will participate in mitigating risk exposures and drive process improvements within the business group. They will review basic business challenges, implement risk monitoring processes, and present recommendations for resolving complex situations.Develop and implement risk...

  • Control Management Specialist

    7 days ago

    Hyderabad, Telangana, India WELLS FARGO BANK Full time

    About this role: Wells Fargo is seeking a Control Management SpecialistIn this role, you will: Participate in mitigating current and emerging risk exposures associated with the activities and operations of the assigned business group, and identify opportunity for process improvements within the scope of defined business control responsibilities Review and...

  • Control Management Specialist

    3 weeks ago

    Hyderabad, India WELLS FARGO BANK Full time

    About this role:Wells Fargo is seeking a Control Management Specialist.In this role, you will:Participate in mitigating current and emerging risk exposures associated with the activities and operations of the assigned business group and identify opportunity for process improvements within the scope of defined business control responsibilities.Review and...

  • Control Management Specialist

    6 days ago

    Hyderabad, Telangana, India WELLS FARGO BANK Full time

    About this role: Wells Fargo is looking for a Control Management Specialist.Responsibilities:Participate in planning and executing various programs, services, and initiatives to ensure effective performance and control management.Review and update artifacts in the system of records.Collaborate with stakeholders on issues related to consent orders.Review and...

  • Finance Controller

    6 days ago

    Hyderabad, Telangana, India Ryan Full time

    The Finance Controller – India is a hands-on position responsible for various functions within the Finance department, including, but not limited to, establishing internal processes and roles to drive the preparation of financial statements in accordance with US GAAP and India GAAP, execution of internal controls, compliance with laws and regulations,...

  • Control Management Specialist

    4 weeks ago

    Hyderabad, India WELLS FARGO BANK Full time

    About this role:Wells Fargo is seeking a Control Management Specialist.In this role, you will:Participate in mitigating current and emerging risk exposures associated with the activities and operations of the assigned business group, and identify opportunity for process improvements within the scope of defined business control responsibilitiesReview and...

  • Control Management Specialist

    3 weeks ago

    Hyderabad, India WELLS FARGO BANK Full time

    About this role:Wells Fargo is seeking a Control Management Specialist.In this role, you will:Participate in mitigating current and emerging risk exposures associated with the activities and operations of the assigned business group, and identify opportunity for process improvements within the scope of defined business control responsibilitiesReview and...

  • Transportation specialist II, Control Tower

    4 weeks ago

    hyderabad, India ADCI HYD 16 SEZ Full time

    ATS NCM Control TowerAt Amazon we believe that every day is still day one. A day to take the first step and a day to look forward to new challenges. And today is that day for you. It's your day to be part of something great. A day to make your ideas come to life and your day to join a company that redefines itself every day. That's the energy and passion...

  • Transportation specialist II, Control Tower

    4 weeks ago

    Hyderabad, India ADCI HYD 16 SEZ Full time

    ATS NCM Control TowerAt Amazon we believe that every day is still day one. A day to take the first step and a day to look forward to new challenges. And today is that day for you. It's your day to be part of something great. A day to make your ideas come to life and your day to join a company that redefines itself every day. That's the energy and passion...

  • Transportation specialist II, Control Tower

    6 days ago

    Hyderabad, Telangana, India ADCI HYD 16 SEZ Full time

    ATS NCM Control TowerAt Amazon we believe that every day is still day one. A day to take the first step and a day to look forward to new challenges. And today is that day for you. It's your day to be part of something great. A day to make your ideas come to life and your day to join a company that redefines itself every day. That's the energy and passion...