Customer Care Obligation Senior Control Management Specialist

Wells Fargo Bank•Charlotte, NC

11d•$77,000 - $121,000•Hybrid

About The Position

Wells Fargo is seeking a Senior Control Management Specialist (VP) to join our Corporate and Investment Banking (CIB) Trade Surveillance team, with a dedicated focus on Customer Care Obligation. This critical role identifies, assesses, and mitigates risks associated with trading activities that fall outside of approved mandates, strategies, or controls. The successful candidate will have in-depth understanding of Corporate & Investment Banking’s Businesses, products, key financial/non-financial risks and controls, excellent communication skills, attention to detail, ability to multi-task, and a self-driven work approach. In this role, you will: Lead design, implementation, and enhancement of controls to ensure Equity best execution standards and Customer Care obligation requirements. Analyze trade lifecycle events and execution quality to identify gaps, anomalies, or areas for improvement in client outcomes. Collaborate with front office, compliance, risk, and technology teams to maintain comprehensive coverage of best execution, fair pricing, mark-up/down controls across Equities. Develop and maintain metrics and reporting frameworks to monitor execution quality, client satisfaction, and escalate issues where needed. Investigate execution quality alerts, ensuring timely resolution and thorough documentation. Assist in defining requirements and analyzing data to build evidence-based control activities supporting best execution. Perform data analysis across centralized and decentralized sources to enable automation and improve transparency. Develop prototypes and refine controls in partnership with support functions to enhance execution monitoring. Execute control activities in business-as-usual processes and escalate identified exceptions such as poor execution or deviations from client mandates. Support end-to-end control design, data analysis, testing, and implementation for best execution and client care initiatives. Enable ongoing monitoring and develop sustainable mechanisms to ensure adherence to best execution standards. Engage with business heads, control teams, and leadership to socialize and calibrate controls for equity execution. Partner with Compliance to execute policies, procedures, and governance routines related to best execution and client care. Generate ad-hoc reports and materials for senior leadership on control outcomes, KRIs, and KPIs tied to execution quality. Stay informed on industry trends, regulatory developments, and emerging risks related to equity execution and client service.

Requirements

4+ years of Risk Management or Control Management experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Nice To Haves

3 + years of experience in Capital Markets business environment, including products and services, data flows, trade lifecycle(s) and relevant risks
3+ years of experience identifying, assessing, evaluating, documenting, and reporting effective controls, control procedures, and control gaps, to mitigate and support operational and compliance risk
Advanced data analytics tooling experience (e.g., SQL, Python, R and/or similar) preferred
Experience partnering with technology and product owners throughout technology development lifecycle
Ability to support ongoing tracking against project plans, and execute on the different phases of the delivery lifecycle
Advanced Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
Ability to identify, assess and confidently raise risks and issues, escalate early, and independently engage in constructive credible challenge
Ability to take on a high level of responsibility, initiative, and accountability with minimal supervision in a structured environment
Experience communicating in both written and verbal formats with senior executive-level leaders
Ability to influence, partner, and negotiate solutions to issues with senior business leaders to gain commitment to accomplish business goals

Responsibilities

Lead design, implementation, and enhancement of controls to ensure Equity best execution standards and Customer Care obligation requirements.
Analyze trade lifecycle events and execution quality to identify gaps, anomalies, or areas for improvement in client outcomes.
Collaborate with front office, compliance, risk, and technology teams to maintain comprehensive coverage of best execution, fair pricing, mark-up/down controls across Equities.
Develop and maintain metrics and reporting frameworks to monitor execution quality, client satisfaction, and escalate issues where needed.
Investigate execution quality alerts, ensuring timely resolution and thorough documentation.
Assist in defining requirements and analyzing data to build evidence-based control activities supporting best execution.
Perform data analysis across centralized and decentralized sources to enable automation and improve transparency.
Develop prototypes and refine controls in partnership with support functions to enhance execution monitoring.
Execute control activities in business-as-usual processes and escalate identified exceptions such as poor execution or deviations from client mandates.
Support end-to-end control design, data analysis, testing, and implementation for best execution and client care initiatives.
Enable ongoing monitoring and develop sustainable mechanisms to ensure adherence to best execution standards.
Engage with business heads, control teams, and leadership to socialize and calibrate controls for equity execution.
Partner with Compliance to execute policies, procedures, and governance routines related to best execution and client care.
Generate ad-hoc reports and materials for senior leadership on control outcomes, KRIs, and KPIs tied to execution quality.
Stay informed on industry trends, regulatory developments, and emerging risks related to equity execution and client service.