About this role:

Wells Fargo is seeking a Supervisory Control Specialist

In this role, you will:

• Participate and consult regarding policies and procedures, controls, tools and training
• Identify opportunities for additional synergies and to maximize efficiencies within the private client group
• Review and analyze controls to manage high risk investment strategies and complex products
• Evaluate resources to monitor risk and exercise independent judgment to guide process changes, process improvements, and technology enhancements
• Present recommendations for resolving complex analysis in search of current and best practices
• Gather and analyze data, identify trends and present analysis through meaningful statistics
• Develop expertise in firm, compliance and regulatory policies and procedures
• Collaborate and consult with Financial Advisors, Regional and more experienced
• Management, Private Client Group, Branch Managers, Operation Managers, Supervision Managers, and varying Business Units

• 2+ years of Supervisory Control, Corporate Insurance Risk, Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.

• Bachelor's/master's degree or any professional degree (CA/CS/CFA etc.) is required.
• 2+ years of Supervisory Control/E-Comm Surveillance and monitoring experience, or equivalent.

• Ability to travel up to 25 percent of the time
• This role requires a FINRA supervisory license and may require working in the assigned office location for at least one year from the hire date. Any supervisory role employee holding a FINRA supervisory license, who has answered affirmatively to certain Form U4 Section 14 regulatory questions/disclosures, will be ineligible to work from a location other than their assigned office location
• Be part of the Front-Line Market conduct and supervision team and responsible for analysis of e-communications alerts to identify unusual activity and potential market conduct issues. As part of the Corporate Investment Banking E-Communications Surveillance monitoring including internal and external including corporate e mail, Chat, & voice recordings
• Support the development of surveillance controls to identify misconduct and market abuse, including in the testing of next generation electronic communications systems and perform first-line-of-defense activities in relation to consequential risks.
• Perform basic or tactical ongoing regulatory and operational reviews as well as other duties related to best practices and opportunities for additional synergies to maximize efficiencies.
• Collaborate and consult with Onshore teams and India Management for any escalations and process improvement ideas.
• Conducting routine reviews and ad hoc reviews of employee e-communications and voice recordings.
• Identify any non-compliant or suspicious activity and escalate questionable electronic communications to the onshore team (L2 team)
• Assisting with analysis and implementation of new and enhanced surveillance reviews and processes
• Experience with e-communications surveillance platforms and tools
• Experience with lexicon or behavioral model based targeted reviews.
• Experience of reviewing and development of lexicons/Lexicons refinement or behavioral models.
• Excellent analytical skills and strong attention to detail
• An understanding of the regulatory environment and expectations, relevant regional regulations and codes of practice
• Must exhibit highest standards of integrity and maintain confidentiality.
• Additional Language skills apart from English language would be an added advantage.
• Additional surveillance experience in Voice, Trade, Information Barrier or Control room will be an added advantage.
• Excellent presentation, Power point, Business communication skills (written and spoken) and problem-solving skills.
• Experience in creating MIS for senior management.
• Interfacing with relevant stakeholders to review and escalate potential market conduct issues.
• Remain updated on developments and changes concerning relevant regulatory regulations.
• Develop and maintain a good understanding of the Firm's business groups and products in accordance with the relevant processes and procedures with a view to expanding and improving existing coverage.
• Actively participate in team meetings. Bringing solutions / suggestions / recommendations to the table
• Self-motivated, enthusiastic and proven rapid leaning capability and Ability to act proactively and independently.
• Demonstrated ability to handle multiple tasks in a fast-paced environment.
• Experience with Digital Reasoning, Actimize or e-communications surveillance platforms and tools
• Actively participate in team meetings. Bringing solutions / suggestions / recommendations to the table
• Self-motivated, enthusiastic and proven rapid leaning capability and Ability to act proactively and independently.
• Demonstrated ability to handle multiple tasks in a fast-paced environment.
• Experience with Digital