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Wells Fargo Supervisory Control Associate Manager Philippines, Caloocan 807193837
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Department Overview
Wealth & Investment Management (WIM) is one of the nation’s leading providers of financial and investment services in the United States. We offer a full range of products and services to meet clients’ unique needs and help them achieve financial goals. Services include Brokerage, Comprehensive planning and advice, Estate planning strategies, Investment management and Private banking
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
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 Recruitment and Hiring Requirements:
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.
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