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Wachovia Securities, Llc Work Values
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Daily Duties at Wachovia Securities, Llc:
Responsible for the implementation and monitoring of the Firm’s Heightened Supervision program. Conducted for cause compliance reviews and investigations which involved associates’ violations of firm policies or industry rules. • Conducted comprehensive business reviews for all Financial Advisors (FAs) who met FINRA Heightened Supervision requirements or otherwise selected for review. Responsible for conducting routine reviews of the activities of the FAs who were placed on Heightened Supervision while also reviewing the Branch Manager’s supervision of the FA. Drafted tailored Action Plans for those individuals placed on Heightened Supervision. • Responded to calls from the field and other business units regarding other compliance matters and questions as well as receiving incoming referrals for reviews and/or investigation matters. • Conducted thorough investigations to determine essential facts and circumstances needed to resolve matters involving violations of firm policies or industry rules. Discussed with manager findings of investigation and any recommendations for remediation or disciplinary action.
What they like about Wachovia Securities, Llc:
You highly value a work environment built on a formal structure, rules, and regulations. You do not enjoy the unpredictability of shifting priorities and deadlines that upset your routine. You require and enjoy direction, input and accountability as part of your work environment. You have a strong need to participate in making key decisions and feel left out if your superiors or co-workers do not seek your input when making decisions. You thrive on providing good customer service to both internal or external customers, and doing so makes you feel good.
Tags
FINRA Series 7, FINRA Series 24, Risk Management, Internal Controls, Regulatory, Compliance, Cleveland, Risk Analyst, Risk Reviewer, Compliance Officer, Regulatory Affairs
Information about Wachovia Securities, Llc
Company Rank: Not Available
Average length of employment : 2 years
Average salary of employees: $73,000
These are some of the questions we asked our climbers about their experiences with Wachovia Securities, Llc:
| 05| | ||
| Were your performance expectations clearly communicated? | 0.0 |
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| Were you recognized for meeting or exceeding expectations? | 0.0 |
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| Did you feel like your personal contribution was important? | 0.0 |
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| Was your career path clearly outlined and discussed? | 0.0 |
| 03| | ||
| I would recommend this as a place of employment. | 0.0 | |
| I believe in the purpose of this organization. | 0.0 | |
| I would work for this organization again. | 0.0 | |
| I feel employees are fairly compensated. | 0.0 |
Climbers who worked at Wachovia Securities, Llc had these interests:
| Websites | |
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| Wall Street Journal |
Business Publication |
