Note: The job is a remote job and is open to candidates in USA. Wells Fargo is seeking a Head of Supervisory Analysts within the Equity Research department. In this position, you will partner with Research Management focusing on regulatory topics, research policies and procedures, and risk management.
Responsibilities
- Design and/or optimize research publication controls and procedures around department standards and managing relevant risk
- Review and approve equity research reports and economic commentary to ensure regulator and departmental standards are met
- Manage the Supervisory Analyst group
- Partner with Compliance, Legal and Control Room personnel in relation to real-time product assessment or other regulatory exam or audit matters
- Oversight of analyst conduct including conflicts of interest, personal trading and electronic communications
- Support the research-related aspects of the disclosures system
- Manage all aspects of research adherence to SEC, FINRA, MiFID 2 and other related rules/regulations
Skills
- 7+ years of Securities Research experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- BS/BA or higher
- 10+ years of experience in direct support of sell-side equity research regulatory processes or operational procedures
- Direct experience within equity research management, research product management, research compliance, or other relevant experience
- Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
- Strong understanding of the global settlement, FINRA 2241, and other critical regulations
- Advanced skills in Microsoft Office (Word, Excel, Outlook and PowerPoint)
- Strong, clear and concise written and oral communication skills
- Familiarity with financial statement analysis
- Knowledge and understanding of investment tools such as Bloomberg or FactSet application
Benefits
- Health benefits
- 401(k) Plan
- Paid time off
- Disability benefits
- Life insurance, critical illness insurance, and accident insurance
- Parental leave
- Critical caregiving leave
- Discounts and savings
- Commuter benefits
- Tuition reimbursement
- Scholarships for dependent children
- Adoption reimbursement
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