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Wells Fargo is seeking a Senior Control Management Specialist
Job Responsibility:
Participate in identifying, assessing, managing, and mitigating current and emerging risk exposures within Control Management functional area
Provide risk management consulting to support the business in designing and implementing risk mitigation strategies, business processes, and business controls
Monitor moderately complex business specific programs and provide risk management consulting to support the business in designing and implementing risk mitigation strategies
Monitor, measure, evaluate, and report on the impact of decisions and controls to the relevant business group or functional area
Provide guidance to business groups on the development, implementation, and monitoring of business specific programs to identify, assess, and mitigate risk
Collaborate with relevant business group to identify current and emerging risks associated with business activities and operations
Policy, Procedure and Framework Oversight: 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
Risk Management Support: Assisting in identifying and mitigating governance-related risks as defined within our Team Procedures and Operating Model
Supporting High Priority Regulatory Initiatives
Data Analysis and Metrics: Analyzing Trade Surveillance data to identify trends or areas for improvement
Developing key performance indicators (KPIs) for governance effectiveness
Reporting and Documentation: 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
Stakeholder Engagement: 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
Trade Surveillance & Investigation: Promoting a culture of accountability and transparency
Execute and disposition daily surveillance alerts across assigned asset classes
Regulatory Research: Keeping up to date with changes in laws and regulations that impact Trade Surveillance
Advising on implications of regulatory changes
Requirements:
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
Experience in Trade surveillance Market abuse monitoring or compliance operations
Hands-on experience in Trade Surveillance within a financial institution
Strong understanding of market abuse risks surveillance scenarios and regulatory requirements
Strong understanding of capital markets (Equities, FICC, FX, Rates, etc.)
Ability to identify trends, patterns, behavioural red flags, and escalation triggers