Lead Control Management Officer, Wells Fargo

Wells Fargo

Location:
United States, Charlotte

Category:
Finance

Contract Type:
Not provided

Salary:

Not provided

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Job Description:

The Corporate & Investment Banking (CIB) Operations Control organization serves as the first line of defense in risk management, holding direct accountability for identifying, assessing, and effectively managing risks and controls across its supported business groups. This team plays a critical role in ensuring that internal controls, processes, and procedures are not only adequate but also operating effectively to safeguard the organization. CIB Ops Control is responsible for providing executive management with clear visibility into risk exposures, emerging trends, and control effectiveness. The team also partners closely with business leaders and stakeholders to embed risk and control awareness into strategic initiatives and operational execution. Through proactive engagement, the group supports enterprise-wide projects by identifying potential risks and recommending practical, sustainable control solutions.

Job Responsibility:

Provide control coverage for Non-Financial Regulatory Reporting Operations, Transaction Reporting Operations, and potentially other lines of business under CIB Operations teams
Provide specialized support for Non-Financial Regulatory Reporting Operations, including SLATE (SEC Rule 10c-1a) controls, TRACE, and Electronic Blue Sheet reporting
Expand understanding of stock loan and fixed income trade processes, and post-trade regulatory reporting
Act as a Business Control Management (BCM) Lead within the CIB Operations Control team, leveraging deep knowledge of relevant products, services, systems, processes, and customer interactions to drive effective risk management strategies
Partner with CIB Operations Accountable Executives, Control Executives, RAU Owners, and fellow BCMs to implement and continuously enhance performance measures aligned with Operational Risk and Key Risk Indicators (ORKRI)
Identify opportunities to streamline, calibrate, and automate control processes
Lead prioritized control assessments across CIB Operations, ensuring alignment with enterprise risk frameworks and business objectives
Support RCSA and Issues Management governance, collaborating with BCMs to ensure consistency, transparency, and timely execution of risk mitigation activities
Maintain and enhance the Business Process Inventory (BPI) in partnership with business control managers and operational leaders, ensuring accurate mapping of processes to controls and risks
Conduct comprehensive risk and control assessments to evaluate the adequacy and effectiveness of policies, procedures, systems, and internal controls, with a focus on identifying control gaps and emerging risks
Support integration of core control functions, including RCSA, EBCE, Trigger Events, internal testing, audit, and regulatory outputs, into a cohesive risk management ecosystem
Collaborate with CIB Operations managers on the design, implementation, and monitoring of controls, ensuring they are fit-for-purpose and aligned with risk appetite
Analyze control weaknesses and operational risk events (OREs) using structured methodologies such as root cause analysis to drive sustainable remediation and prevent recurrence
Review and enhance control documentation, including rewriting control design and performance rationales, and updating MCR narratives to meet enterprise standards
Manage RCSA triggers, including the evaluation and documentation of trigger events and their impact on the control environment
Oversee the lifecycle of Issues, from identification and opening to monitoring, closure, and validation, in accordance with enterprise policy and regulatory expectations
Drive control development activities, including documentation, evaluation, implementation, and ongoing monitoring to ensure control effectiveness and sustainability
Engage continuously with operations partners to stay informed on strategic initiatives, industry trends, organizational changes, and new or modified products, services, and systems—proactively identifying and addressing associated risks
Contribute to internal and external control engagements, including audits, regulatory exams, and other reviews, ensuring operational readiness and awareness
Monitor and report on the impact of control decisions, providing insights to business leaders and enterprise stakeholders to inform risk-based decision-making
Lead the strategy and resolution of complex and emerging risks, applying deep expertise in data management, operational risk, and enterprise risk frameworks to drive cross-functional solutions

Requirements:

5+ 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 stock loan processing
Knowledge of TRACE reporting
Knowledge of Electronic Blue Sheets Reporting
Experience with transaction reporting
Advanced Microsoft Office (Excel and PowerPoint) skills
Knowledge and understanding of risk applications i.e. Shared Risk Platform (SHRP) and Service Now (SNOW)
Knowledge and understanding of internal controls and internal control policy
Experience with RCSA, risk/control identification and assessment, and enterprise risk frameworks
Strong domain knowledge of Investment banking operations is desirable
Ability to synthesize data and/or observations from a variety of, often disparate and unconnected, sources, deliver succinct summaries (both verbal and written), and enact responses quickly

Nice to have:

Knowledge of stock loan processing
Knowledge of TRACE reporting
Knowledge of Electronic Blue Sheets Reporting
Experience with transaction reporting
Advanced Microsoft Office (Excel and PowerPoint) skills
Knowledge and understanding of risk applications i.e. Shared Risk Platform (SHRP) and Service Now (SNOW)
Knowledge and understanding of internal controls and internal control policy
Experience with RCSA, risk/control identification and assessment, and enterprise risk frameworks
Strong domain knowledge of Investment banking operations is desirable
Ability to synthesize data and/or observations from a variety of, often disparate and unconnected, sources, deliver succinct summaries (both verbal and written), and enact responses quickly

What we offer:

robust benefits
competitive compensation
programs designed to help you find work-life balance and well-being
rewarded for investing in your community
celebrated for being your authentic self
empowered to grow

Additional Information:

Job Posted:
August 04, 2025

Expiration:
August 07, 2025

Employment Type:

Fulltime

Work Type:

Hybrid work

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Lead Control Management Officer