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, andmaintaininggovernance procedures for Trade Surveillance.
- Ensuring procedures align with internal,legaland regulatory requirements.
- Regularly review and update surveillance governance frameworks to reflect changes in trading practices and regulations
- Risk Management Support:
- Assistinginidentifyingand 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 toidentifytrends or areas for improvement.
- Developing key performance indicators (KPIs)for governanceeffectiveness.
- Reporting and Documentation:
- Preparing Trade Surveillance reports for senior management.
- Provide regular reporting on the effectiveness and findings of the surveillance program.
- Maintainingaccuraterecords 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 thatimpactTrade Surveillance.
- Advising onimplications of regulatory changes.
Posting End Date:
7 Jan 2026
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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b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.
