Senior Compliance Manager
Wells Fargo
Manila, National Capital Region
1d ago

Job Description

About Wells Fargo Philippines

Wells Fargo Philippines enables global talent capabilities for Wells Fargo Bank NA., by supporting business lines and staff functions across Operations, Risk and Compliance, Project Management, Finance & Accounting and Data Analytics.

We operate in Taguig City, Metro Manila.

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, Insurance, Investment management, Private banking, Retirement and Trust.

About the Role

Internally known as Operations Manager 4. This senior leader is expected to manage a medium to large operation with multiple units and / or multiple sites, taking a leadership role in the group, area or function.

Job Responsibilities

  • Provide input to the development and implementation of longer-term strategies specific to own units.
  • Has accountability for units' financial and operational performance
  • Develops and implements shorter-term strategies with low-to-moderate financial risk and that could impact functions or activities outside the group
  • Manages subordinate managers, supervisors and professional teams
  • Market Skills and Certifications

    Qualifications :

  • Bachelor’s degree graduate
  • 11 years of operations experience preferably in investment banking, focused in compliance and supervision work, including 5+ years leadership role
  • FINRA Series 7 Certification preferred but not required
  • Advanced knowledge and understanding of operations policies and procedures and FINRA Regulations
  • Ability to research, compile, and perform complex analysis on critical operational data
  • Ability to partner and coordinate with other functions on projects
  • Excellent verbal, written, and interpersonal communication skills
  • Drive transformation and efficiency initiatives and innovative projects
  • Leadership Expectations at Wells Fargo

    As a Team Member manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will :

  • Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them.
  • Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks.
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