Control Management Specialist

About this role:

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

Required Qualifications:

• 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

Desired Qualifications:

• Be part of the Front-Line Market conduct and supervision team and responsible for review, research and disposition of Unauthorized Surveillance and rule-based trade surveillance/transaction monitoring alerts across thefollowing asset classes:credit, commodities, fixed income, FX, equities, and other derivatives.
• Develop, oversee, and provideindependentcrediblechallengetostandards.
• Support the developmentand performanceof surveillance controls toidentifymisconduct and market abuse, includinguser-acceptancetesting of next generation systemsand first line-of-defence monitoring routinesin relation to consequential risks.
• Perform basic or tactical ongoing regulatory and operational reviews as well as other duties related to best practices and opportunities foradditionalsynergies to maximize efficiencies.
• Collaborate and consult with Onshore teams and India Management for any escalations and process improvement ideas.
• Identifyany non-compliant or suspicious activity and escalate questionable trading activity to the onshore team (L2 team)
• Assistingwith analysis and implementation of new and enhanced surveillance reviews and processes
• Bachelor's/master's degree or any professional degree (Preferably CA/CS/CFA etc.) isrequired.
• Bachelor's/master's degree or any professional degree (Preferably CA/CS/CFA etc.) isrequired.
• Experience in 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.

Job Expectations:

• 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,).
• Strong understanding of Unauthorized surveillance scenario - FCA MAR, Dodd Frank Act Title VII and CFTC/SEC regulations, etc.
• Prior experience executing aprocessdocumentation andmaintainingrelevant procedures.Experience in credit, commodities, fixed income, FX, equities, and other derivatives at global financial institutions
• Proficient knowledge of data sets forcapital marketstrading, including but not limited to quotes,ordersand executions.
• In depth knowledge of US/UK Unauthorized trading Regulations and similar FCA MAR Behaviors,SEC, FINRA market abuse rules andregulations. Familiarwith gathering data and corresponding materials in support of internal audits and/or regulatory requests.
• Interfacing with relevant stakeholders to review and escalate potential manipulative trading behaviors.
• Experience with drafting, updating, andmaintainingproceduremanualsdocumenting team processes.
• Activelyparticipatein team meetings. Bringing solutions / suggestions / recommendations to the table
• Demonstrated ability to handle multiple tasks in a fast-paced environment
• Strong written communication and verbal communication skills in English
• Excellent analytical skills and strong attention to detail
• Mustexhibithighest standards of integrity andmaintainconfidentiality
• Experience in creating MIS for senior management.

Posting End Date:

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.

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Wells Fargo maintains a drug free workplace. Please see our 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.