Executive Director, Head of Supervisory Analysts

Wells Fargo & Company•New York, NY

1d•Onsite

About The Position

Wells Fargo's Corporate & Investment Bank (CIB) delivers comprehensive banking, capital markets, and advisory solutions to corporate, government, and institutional clients, focusing on their overall financial needs. The Markets division provides solutions for managing exposure through various derivatives, lending, and cash products across Structured Products Group, Rates, Equities, Foreign Exchange, Municipal Products Group, and Credit Sales & Trading. This role is for a Head of Supervisory Analysts within the Equity Research department, partnering with Research Management on regulatory topics, research policies and procedures, and risk management. Key responsibilities include reviewing and approving equity and economics reports, managing the supervisory analyst group, and maintaining research policies, procedures, and controls for content creation and publication. The Head of SA's will build strong relationships with the Equity Research group and Content Distribution team, requiring a command of 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
Registration for FINRA Series 16 must be completed within 180 days of hire date if it is not available for transfer upon hire (FINRA recognized equivalents will be accepted)
Registration for FINRA Series 24 must be completed within 180 days of hire date if it is not available for transfer upon hire (FINRA recognized equivalents will be accepted)

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