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Wells Fargo is seeking a Control Management Specialist. In this role, you will: Participate in mitigating current and emerging risk exposures associated with the activities and operations of the assigned business group, and identify opportunity for process improvements within the scope of defined business control responsibilities. Review and analyze basic business challenges that require research, evaluation, and selection of alternatives. Develop and implement risk monitoring, risk reporting processes, and controls while evaluating and reporting results where necessary. Present recommendations for resolving complex situations and exercise independent judgment while developing Control Management functional area expertise. Provide support in the interpretation of policy, guidelines, and governance programs as front line liaison to Independent Risk Management area. Collaborate and consult with Control Management team and key stakeholders, including internal customers.
Job Responsibility:
Participate in mitigating current and emerging risk exposures associated with the activities and operations of the assigned business group, and identify opportunity for process improvements within the scope of defined business control responsibilities
Review and analyze basic business challenges that require research, evaluation, and selection of alternatives
Develop and implement risk monitoring, risk reporting processes, and controls while evaluating and reporting results where necessary
Present recommendations for resolving complex situations and exercise independent judgment while developing Control Management functional area expertise
Provide support in the interpretation of policy, guidelines, and governance programs as front line liaison to Independent Risk Management area
Collaborate and consult with Control Management team and key stakeholders, including internal customers
Requirements:
2+ years of Risk Management or Financial Services industry experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Bachelor’s/master’s degree or any professional degree (CA/CS/CFA etc.) is required
Supervisory Control/Trade Surveillance/Transaction monitoring/ Information Barrier/Control room experience, or equivalent including direct experience reviewing alerts in Trade/Information Barrier/Control room in a Surveillance role
Extensive experience in the review of trade surveillance/transaction monitoring alerts across market conduct / market abuse behaviors as well as rules-based surveillance using surveillance applications (Actimize, OneTick, Protegent Market Abuse, Protegent Trading Compliance and Trading Hub)