Senior Control Management Specialist - Trade Surveillance Governance

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About this role: 

Wells Fargo is seeking a Senior Control Management Specialist - Trade Surveillance Governance. This Assistant Vice President will assist in key strategic risk initiatives within the CIB (Corporate and Investment Banking) businesses. Learn more about our career areas and lines of business at wellsfargojobs.com. 

The Corporate & Investment Banking Control organization serves as the front line of risk management and is accountable for assessing and effectively managing all associated risks for their groups. This team works to ensure internal controls, processes, and procedures are adequate and effective, and executive management understands the risks, exposures, and trends that impact the business. The group also collaborates on projects and initiatives by providing support and awareness of risks and mitigating control solutions. 

The Assistant Vice President of Trade Surveillance Governance sits within the Trade Surveillance Team and will be responsible for overseeing processes and procedures that span across all Trade Surveillance related activities.

Crucial to this role is coordination and collaboration, and the successful candidate will work with Business Heads as well as with COOs, Business Control Managers and partner functions (e.g., Compliance, Risk, Operations, Technology, and Legal).   

In this role, you will: 

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 te