Control Management Specialist

Control Management Specialist

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Wells Fargo is seeking a Control Management Specialist within Equities Trade Surveillance. The Corporate & Investment Banking (CIB) 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 Control Executive for CIB has a business-aligned Control team that will closely partner with Operations Control for all aspects of the CIB business, including Securities Operations that support Wells Fargo Securities (WFS LLC) and regional broker dealers, derivative operations that support its Swap Dealer (WFBNA Wells Fargo Bank, National Association) including regional branches, and its Global Payments Services, Mortgage Servicing, Fraud & Claims Management (FCM), and Prime Services businesses.

The Trade Surveillance Equities Subject Matter Expert (SME) will report to the Head of Trade Surveillance SMEs and will be responsible for the design, implementation, and execution of trade surveillance controls in Rates, while escalating potential issues to Senior Management. Crucial to this role is extensive product knowledge, and potentially ex-trading experience, as well as experience in trade surveillance scenario design, implementation, parameter setting, alert dispositioning and support with investigations.

In this role, you will :

• Work closely with Risk Owners, Risk Stewards, CIB Surveillance Technology and Surveillance Product Management to enhance and build effective surveillance controls
• Provide subject matter expertise with comprehensive knowledge of business and functional area
• Review daily alerts related to Equities / FX / Fixed income Trade Surveillance
• Maintain key relationships with Business Heads, Desk Heads, Compliance, Chief Operating Office (COO) and CIB Control for Equities
• Actively participate in risk assessments and parameters setting activities
• Work with an offshore team supporting the first pass review of trade surveillance alerts

Required Qualifications :

Desired Qualifications :

Pay Range : $60,000.00 - $109,000.00

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

We Value Equal Opportunity : Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.

Applicants with Disabilities : To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy : Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements :

Req Number : R-500010