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Wells Fargo Supervisory Control Manager Philippines, Caloocan 853519391
27.03.2025
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In this role, you will:
- Manage and develop a team of analysts, principals, reviewers, supervisors and managers
- Conduct ongoing monitoring to ensure conformity with internal policies, applicable laws and regulations
- Identify and recommend opportunities for coordinating proper staffing and coverage
- Implement and monitor policies and procedures
- Provide regular reporting to branches, regions and channels to ensure that the activity is in compliance with all regulatory and firm policies
- Make decisions and resolve issues regarding compliance, supervision policies, practices, hiring and training
- Monitor sales review activities, coordinate proper staff and coverage and develop and implement training plans within Wealth Brokerage Services to meet business objectives
- Collaborate and consult with more experienced management
- Meet regularly with risk and business partners as well as serve as a primary business contact on key initiatives with Wealth, Compliance, Risk, regional management and other home office 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:
- Experience in Supervisory Control. Risk Management Consulting, Property or Casualty Insurance, Insurance Brokerage, or equivalent demonstrated through one or a combination of the following: work experience, training, education
- 2+ years of leadership experience
Desired Qualifications:
- Minimum of 2 years experience in a manager capacity
- Active FINRA License Series 7, required
- Active FINRA License Series 63, preferred
- Strong communication skills and stakeholder experience
- Project Management
Job Expectations:
- Ability to work US hours
- Ability to work onsite (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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