Executive Director, Head of Supervisory Analysts

About the role

Wells Fargo is seeking a Head of Supervisory Analysts within the Equity Research department. The role involves partnering with Research Management on a broad array of responsibilities, focusing 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 overseeing analyst conduct.

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.

Requirements

• 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.
• 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.

Desired Qualifications

• 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.
• 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.

Job Expectations

• Up to 20% travel.
• 100% Remote work location is available for this position.
• 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.
• This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire.
• In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
• Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired.
• Information will be shared about expectations during the recruitment process.