Associate Personal Banker assisting customers with banking needs at Wells Fargo. Building relationships through exceptional customer service and proactive outreach in Sparks and Reno, NV.
About the role
- Trade Supervision Manager in the Business Governance & Controls team ensuring compliance for financial advisors. Conduct trade supervision activities and identify coaching opportunities for improved outcomes.
Responsibilities
- Conduct Tier 1 supervision activities, including daily and monthly trade reviews, close supervision and new registrant supervision.
- Effectively managing queries and other tasks to support trade supervision within the broader team.
- Through daily trade review activities identify and help resolve issues impacting risk, regulatory requirements, and our policies and procedures.
- Proactively identify issues and coaching opportunities for field leaders and advisors to improve compliance outcomes.
- Proactively identify and share opportunities for improvement in policies, processes, tools, and reporting across the compliance ecosystem
- Collaborate with Trade Supervision team members and with other BG&C colleagues to achieve BG&C objectives.
- Complete other duties as assigned.
Requirements
- Mutual Fund Dealer Branch Manager proficiency which includes 2 years of relevant experience and completion of any one of the following: Branch Manager’s Course Exam (CSI) Mutual Fund Branch Manager’s Examination Course Exam (IFSE) Branch Compliance Officers Course Exam (CSI)
- Strong knowledge of and experience with mutual fund industry compliance standards and practices
- Excellent organization and time management skills
- High degree of integrity and ethics; good judgement
- Interpersonal and communication skills
- Investment Dealer Branch Manager Proficiency is an asset
- Bilingualism (French, English, both oral and written) is required for the frequent interactions with English and French-speaking colleagues or internal partners across Canada and worldwide.
Benefits
- The opportunity to move along a variety of career paths with amazing networking potential
- Flexible Benefits from the day you join to meet the needs of you and your family
- We’re committed to creating an inclusive and respectful environment. Our goal is to make sure all our employees have the chance to live up to their full potential
- We’re honoured to be recognized as a 2025 Best Workplaces in Ontario by Great Place to Work® Canada
- We are thrilled to be recognized by Excellence Canada with their top-level certification, the Canada Order of Excellence for Mental Health at Work®, for prioritizing employee well-being, fostering a positive work culture, and achieving excellence in mental health
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