Supervisory Control Associate

About this role:

Wells Fargo is seeking a Supervisory Control Associate.

In this role, you will:

Primary role:

• 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
• Reviews 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, when applicable
• Ensure accuracy of trackers and data entries on different tools and applications.
• Meet regulatory and service level agreement deadlines
• Completes all trainings within the deadline (web-based trainings, document submission, etc.)

Secondary role:

• Attend all necessary forums, meetings, etc. as advised by Team Lead or Manager
• 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 Qualification :

• 6+ months of Supervisory Control experience or equivalent demonstrated through one or a combination of the following: work experience, training or education
• Active FINRA Series 7 license

Desired Qualifications:

• Graduate of Banking and Finance or any related courses
• Active FINRA Series 63 License
• At least 3 years working experience, two years in banking and brokerage industry
• Good communication skills
• Willing to work US hours
• Willing to work onsite (BGC office)

Job Expectations:

• 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 program
• 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.

Posting End Date:
31 Jan 2025
*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.

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.