Supervisory Control Associate Supervisory Control Associate …

Wells Fargo
in Manila, National Capital Region, Philippines
Permanent, Full time
Be the first to apply
Wells Fargo
in Manila, National Capital Region, Philippines
Permanent, Full time
Be the first to apply
See job description for details
About this role:
Wells Fargo is seeking a Supervisory Control Associate...

In this role, you will:
  • Participate or conduct compliance, supervision, and control reviews
  • Design risk processes and provide project management support
  • Identify issues and provide resolution within Insurance or Private Client Groups
  • Perform basic or tactical ongoing regulatory, compliance and operational reviews as well as other duties related to best practices and opportunities for additional synergies to maximize efficiencies
  • Receive direction from management and exercise independent judgment while developing an understanding of sales activities using various technological tools and reports to ensure that the activity is in compliance with all regulatory and firm policies
  • Collaborate and consult with financial advisors, branch managers, supervisory principals and Market Administration Management
Required Qualifications, International:
  • At least two years work experience in banking and brokerage industry
  • Active FINRA Series 7 License
Desired Qualifications:
  • Quality-oriented and demonstrates high-level of attention to detail
  • Excellent analytical and technical skills with ability to apply critical judgment and come up with effective decisions.
  • Strong verbal and written communication skills and proficiency for detailed documentation with ability to validate work
  • Proficient with Microsoft programs
  • Ability to adapt to a fast paced environment and perform under pressure with a high motivation and able to meet stringent deadlines with strong sense of urgency and results and detail orientation
  • Ability to plan, prioritize, and execute a body of work with minimal supervision
  • Exceptional research, data entry and exception handling skills
  • Possesses an impeccable reputation for integrity, accuracy, consistency and business acumen
  • Familiarity with banking documents
  • Ability and experience to interact with US customers
  • Flexibility to work in night shifts, or weekends/holidays if deemed necessary by the business
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.

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