Senior Control Management Specialist - Trade Surveillance Governance

Wells Fargo Bank•Charlotte, NC

2d•$77,000 - $121,000

About The Position

Wells Fargo is seeking a Senior Control Management Specialist - Trade Surveillance Governance. This Assistant Vice President will assist in key strategic risk initiatives within the CIB (Corporate and Investment Banking) businesses. Learn more about our career areas and lines of business at wellsfargojobs.com. The Corporate & Investment Banking Control organization serves as the front line of risk management and is accountable for assessing and effectively managing all associated risks for their groups. This team works to ensure internal controls, processes, and procedures are adequate and effective, and executive management understands the risks, exposures, and trends that impact the business. The group also collaborates on projects and initiatives by providing support and awareness of risks and mitigating control solutions. The Assistan t Vice President of Trade Surveillance Governance sits within the Trade Surveillance Team and will be responsible for overseeing processes and procedures that span across all Trade Surveillance related activities . Crucial to this role is coordination and collaboration, and the successful candidate will work with Business Heads as well as with COOs, Business Control Managers and partner functions (e.g., Compliance, Risk, Operations, Technology, and Legal). In this role, you will:

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
Knowledge of Trade Surveillance processes as well as strategic thinking and stakeholder management.

Nice To Haves

3+ years of governance, management consulting, business analyst, risk management, business controls, compliance experience, or equivalent
Demonstrated direct or indirect experience with Trade Surveillance in either First Line or Second Line roles.
Experience with Market Conduct, Market abuse controls and Supervisory review processes.
Experience in leading governance and senior risk committee for potential disciplinary or conduct issues.
Prior experience at Market Oversight including any regulatory or government agencies.
Prior experience in process improvement, automation of control processes.
Understanding of Corporate and Investment Banking business operations, processes, products and customer interactions and associated risk manifestation.
Working knowledge of the Risk Management Framework (RMF) concepts and policies across risk types (regulatory, financial crimes, credit, operational, etc.).
Excellent communication skills (verbal, written and interpersonal); ability to concisely articulate complex concepts in a clear manner.
Professionalism, adaptability and strong collaboration skills.
Ability to proactively resolve conflict and maintain objectivity.
Demonstrated capacity to proactively and independently analyze and solve problems and address risks.

Responsibilities

Policy, Procedure and Framework Oversight Drafting, updating, and maintaining governance procedures for Trade Surveillance. Ensuring procedures align with internal, legal and regulatory requirements. Regularly review and update surveillance governance frameworks to reflect changes in trading practices and regulations
Risk Management Support Assisting in identifying and mitigating governance-related risks as defined within our Team Procedures and Operating Model. Supporting High Priority Regulatory Initiatives.
Data Analysis and Metrics Analyzing Trade Surveillance data to identify trends or areas for improvement. Developing key performance indicators (KPIs) for governance effectiveness.
Reporting and Documentation Preparing Trade Surveillance reports for senior management. Provide regular reporting on the effectiveness and findings of the surveillance program. Maintaining accurate records of governance activities and decisions.
Stakeholder Engagement Coordinating with internal departments (legal, compliance, audit) to ensure governance alignment. Work with compliance, legal, and IT teams to ensure effective surveillance coverage. Attend team meetings and contribute to discussions on risk and compliance strategy.
Trade Surveillance Awareness Promoting a culture of accountability and transparency.
Regulatory Research Keeping up to date with changes in laws and regulations that impact Trade Surveillance. Advising on implications of regulatory changes.