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Wells Fargo · 1 day ago

Senior Control Management Specialist - Trade Surveillance Governance

Charlotte, NC

Full-time

Onsite

Mid, Senior Level

$77K/yr - $121K/yr

4+ years exp

Wells Fargo is a global financial services leader committed to innovation and community empowerment. They are seeking a Senior Control Management Specialist - Trade Surveillance Governance to assist in strategic risk initiatives within the Corporate and Investment Banking businesses, focusing on governance procedures and risk management support related to trade surveillance activities.

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Responsibilities

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

Assisting in identifying and mitigating governance-related risks as defined within our Team Procedures and Operating Model

Supporting High Priority Regulatory Initiatives

Analyzing Trade Surveillance data to identify trends or areas for improvement

Developing key performance indicators (KPIs) for governance effectiveness

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

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

Promoting a culture of accountability and transparency

Keeping up to date with changes in laws and regulations that impact Trade Surveillance

Advising on implications of regulatory changes

Qualification

Risk ManagementTrade SurveillanceGovernance ProceduresData AnalysisStakeholder ManagementRegulatory ResearchCommunication SkillsCollaboration SkillsProblem Solving

Required

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

Preferred

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