Supervisory control associate managerWells Fargo

Job Description : About Wells Fargo India & Philippines is a critical component of Wells Fargo's strategy to leverage distinct advantages in doing business in a global environment. Wells Fargo India & Philippines is primarily an extension of the te Job Description : About Wells Fargo India & Philippines is a critical component of Wells Fargo's strategy to leverage distinct advantages in doing business in a global environment. Wells Fargo India & Philippines is primarily an extension of the technology, operations, and corporate support teams of Wells Fargo. It engages in application development and support, testing, other technology functions, international operations, knowledge support, and middle and back-end banking process solutions for a wide spectrum of Wells Fargo's needs. It currently has offices in Bengaluru, Chennai, Hyderabad, and Manila. Department Overview Wealth & Investment Management (WIM) is one of the nation's leading providers of financial and investment services in the United States. We offer a full range of products and services to meet clients' unique needs and help them achieve financial goals. Services include Brokerage, Comprehensive planning and advice, Estate planning strategies, Investment management and Private banking About the LOB Communications & Supervisory Review (C&SR) performs compliance supervisory functions of reviewing different type of electronic communications. These communications include emails, texts, chats, "Envision Plan" correspondence, internet presence searches, and social media interactive posts of financial advisors and team members across various Wells Fargo Advisors channels and business units. C&SR also escalates noncompliant items on email review findings and does quality audit of Regional Supervisors' trade and account review documentation. In this role, you will: Supervise registered individuals, supervisory principals and reviewers in day to day operations Monitor progress to ensure timely completion, quality and compliance in all regulatory and firm policies Implement opportunities for department, firm or risk initiatives in regulatory and firm policies and day to day functionality operations Make day to day compliance and supervisory decisions, resolve issues related to ensuring firm and regulatory requirements are met Implement and monitor policies and procedures under direction of Supervisory Control Collaborate and consult with market managers, regional and branch staff and potential interaction with support departments Manage allocation of people and financial resources for Supervisory Control Mentor and guide talent development of direct reports and assist in hiring talent Required Qualifications, International: Minimum requirement: graduate of 4-year course FINRA Series 7 License At least 7 years experience in banking and brokerage industry At least 2 years leadership role Strong foundation in brokerage and securities industry, experience working in customer service field, and experience in leading teams to deliver business requirements experience in collaborating with different teams for different projects/initiatives. Desired Qualifications: FINRA Series 24, 9/10 We Value Diversity At Wells Fargo, we believe in diversity 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, or national origin. 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.
Monster

Philippines
Permanent
Full-time