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Wells Fargo · 2 weeks ago

Customer Care Obligation Senior Control Management Specialist

CHARLOTTE, NC

Full-time

Hybrid

Mid, Senior Level

$77K/yr - $121K/yr

4+ years exp

Wells Fargo is a global leader in financial services, and they are seeking a Senior Control Management Specialist to join their Corporate and Investment Banking Trade Surveillance team. This role focuses on identifying, assessing, and mitigating risks associated with trading activities and involves collaboration with various teams to ensure compliance with best execution standards.

BankingFinancial ServicesFinTechInsurancePayments

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

Qualification

Risk ManagementControl ManagementData AnalyticsCapital Markets ExperienceMicrosoft OfficeMulti-taskingSelf-driven Work ApproachCommunication SkillsAttention to Detail

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

Preferred

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