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Wachovia Securities, Llc Work Values
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Daily Duties at Wachovia Securities, Llc:
Evaluated business and compliance units within Retail Brokerage in order to ensure the effectiveness of internal controls. Documented test work and findings from internal reviews in the Internal Review Database. Created findings report once review was finalized and disseminate to various members of Senior Management. Monitored firm issues to resolution through internal database. • Internal Review was responsible for a firm wide policies and procedures initiative in 2005, which was also one of the firm’s top three initiatives for this year. Performed comprehensive reviews of all submitted written supervisory and operational policies and procedures. Provided guidance to internal departments and participated in meetings with various department management. • Monitored outstanding firm issues stemming from regulatory exams, internal audits and business reviews through Issue Tracking Database. Obtained and documented status updates from management to ensure issues are fully resolved within an appropriate timeframe. • Conducted internal reviews throughout fiscal year to identify risks of various processes and test effectiveness of internal controls of each process.
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:
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| 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 |
