CSR Controls Analyst
SCORE Silicon Valley
Manila, National Capital Region
3d ago

Job Description

About Enterprise Global Services

Enterprise Global Services (EGS) enables global talent capabilities for Wells Fargo Bank NA., by supporting over half of Wells Fargo's business lines and staff functions across Technology, Operations, Risk Services and Knowledge Services.

EGS operates in Hyderabad, Bengaluru and Chennai in India and in Manila, Philippines. Learn more about EGS at our International Careers website

About the role

The CSR Control Analyst 2 has several supervisory controls set up by various WFA Supervision Teams on the following to comply to firm and industry policies and regulations.

Responsibilities

  • Social media interactive posts, and internet presence of registered representatives as these are considered advertisements that require pre-approval
  • Review and validate correspondence and external accounts on investment plans provided to the clients
  • Audits Regional Supervisor’s notation on various trade blotter alerts
  • Escalates items to Supervision Teams which are not compliant to the firm’s communication policies.
  • Market Skills and Certifications

    FINRA Series 7 (General Securities Representative Exam (GSRE) - Required

    We Value Diversity

    At Wells Fargo, we believe in diversity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national or ethnic origin, age, disability, religion, sexual orientation, gender identity or any other status protected by applicable law.

    We comply with all applicable laws in every jurisdiction in which we operate.

    APAC

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