Senior Compliance Manager ( with FINRA Series 7 )
Wells Fargo
Manila, Philippines
1d ago

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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