Supervisory Control Associate Manager

at  Wells Fargo

ABOUT WELLS FARGO INDIA & PHILIPPINES

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.

APPLICANTS WITH DISABILITIES

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

WELLS FARGO RECRUITMENT AND HIRING REQUIREMENTS:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process

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 in a 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
• Strong communication skills
• Willing to work US hours
• Willing to work onsite full time (BGC office

Wells Fargo is seeking a Supervisory Control Associate Manager who will be part of C&SR. 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 in a 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
• Strong communication skills
• Willing to work US hours
• Willing to work onsite full time (BGC office)