About this role:
Wells Fargo is seeking a Supervisory Control Associate...
In this role, you will:
Review escalated electronic communications on a daily basis
Further escalate emails that do not meet internal company policies or applicable laws & regulations
Review internet searches results and escalate non-compliance postings
Review or approve social media content to ensure compliance to company policies and regulations before posting to different social media platforms; recommends changes or further review of non-compliant content.
Review and validate correspondence and external accounts on investment plans provided to the clients
Conduct audits of Regional Supervisor's notations or documentations on various trade blotter alerts and account reviews
Ensure accuracy of trackers and data entries on different tools and applications.
Meet regulatory and service level agreement deadlines
Complete all trainings within the deadline (web-based trainings, document submission, etc.)
Attend all necessary forums, meetings, etc. as advised by Team Lead or Manager
Other Expectations:
May perform Subject Matter Expert functions such as mentoring new hires, facilitating skill up sessions, and supporting cross-product trainings
Initiate or suggest process improvement ideas to increase efficiency, reduce risk, improve customer experience, and promotes team member engagement
Perform delegated functions to be assigned by Team Lead or Manager
Required Qualifications:
Experience in Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage, or equivalent demonstrated through one or a combination of the following: work experience, training, education
FINRA Series 7
Graduate of any Bachelor's Degree course
Desired Qualifications:
Graduate of Banking and Finance or any related courses
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, or status as a protected veteran.
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.
Wells Fargo
Wells Fargo is seeking a Supervisory Control Associate...
In this role, you will:
Review escalated electronic communications on a daily basis
Further escalate emails that do not meet internal company policies or applicable laws & regulations
Review internet searches results and escalate non-compliance postings
Review or approve social media content to ensure compliance to company policies and regulations before posting to different social media platforms; recommends changes or further review of non-compliant content.
Review and validate correspondence and external accounts on investment plans provided to the clients
Conduct audits of Regional Supervisor's notations or documentations on various trade blotter alerts and account reviews
Ensure accuracy of trackers and data entries on different tools and applications.
Meet regulatory and service level agreement deadlines
Complete all trainings within the deadline (web-based trainings, document submission, etc.)
Attend all necessary forums, meetings, etc. as advised by Team Lead or Manager
Other Expectations:
May perform Subject Matter Expert functions such as mentoring new hires, facilitating skill up sessions, and supporting cross-product trainings
Initiate or suggest process improvement ideas to increase efficiency, reduce risk, improve customer experience, and promotes team member engagement
Perform delegated functions to be assigned by Team Lead or Manager
Required Qualifications:
Experience in Supervisory Control, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage, or equivalent demonstrated through one or a combination of the following: work experience, training, education
FINRA Series 7
Graduate of any Bachelor's Degree course
Desired Qualifications:
Graduate of Banking and Finance or any related courses
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, or status as a protected veteran.
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.
Wells Fargo
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Taguig City, Metro Manila
Permanent
Full-time
Permanent
Full-time
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