About this role:

Wells Fargo is seeking a Senior Control Management Specialist

In this role, you will:

• 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

Required Qualifications:

• 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

Desired Qualifications:

• Experience in Trade surveillance Market abuse monitoring or compliance operations
• Strong understanding of market abuse risks surveillance scenarios and regulatory requirements.

Job Expectations:

• 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.
  • Identify unusual trading pattern, trends, behaviors and potential market abuse indicators.
  • Conduct detailed investigation documents finding surveillance scenarios.

• Regulatory Research
  • Keeping up to date with changes in laws and regulations that impact Trade Surveillance.
  • Advising on implications of regulatory changes.

Posting End Date:

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.