Executive Director, Head of Supervisory Analysts

Wells Fargo Bank•New York, NY

22h•Onsite

About The Position

Wells Fargo is seeking a Head of Supervisory Analysts within the Equity Research department. In this position you will partner with Research Management on a broad array of responsibilities, with a focus on regulatory topics, research policies and procedures, and risk management. Primary responsibilities will include review and approval of equity and economics reports and the management of the supervisory analyst group including maintaining and managing applicable research policies, procedures and controls related to the creation and publication of the Equity Research and Economics content. The Head of SA's will need to build strong relationships with both the Equity Research group and the Content Distribution team, and have a command of all relevant rules and regulations.

Requirements

7+ years of Securities Research experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Nice To Haves

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

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.