FICC Trade Surveillance Lead Control Management Officer

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About this role:

Wells Fargo is seeking a Lead Control Management Officer within FICC Trade Surveillance.  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 Control Executive for CIB has a business-aligned Control team that will closely partner with Operations Control for all aspects of the CIB business, including Securities Operations that support Wells Fargo Securities (WFS LLC) and regional broker dealers, derivative operations that support its Swap Dealer (WFBNA) including regional branches, and its Global Payments Services, Mortgage Servicing, FCM, and Prime Services businesses.

The Trade Surveillance FICC Subject Matter Expert (SME) will report to the Head of Market Abuse Monitoring and will be responsible for the design, implementation and execution of trade surveillance controls in FICC, while escalating potential issues to Senior Management. This position will require extensive product knowledge and potentially ex-trading experience, as well as experience in trade surveillance scenario design, implementation, parameter setting, alert dispositioning and support with investigations.

In this role, you will

• Work closely with Risk Owners, Risk Stewards, CIB Surveillance Technology and Surveillance Product Management to enhance and build effective surveillance controls

• Provide subject matter expertise with comprehensive knowledge of business and functional area

• Review daily alerts related to FICC Trade Surveillance

• Manage key relationships with Business Heads, Desk Heads, Compliance, COO and CIB Control for Rates

• Represent Trade Surveillance on various governance forums

• Actively participate in risk assessments and parameters setting activities

• Mentor an offshore team supporting the first pass review of trade surveillance alerts

Required Qualifications:

• 5+ 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 Qualification

• Experience operating rule-based and risk-based Surveillance tools  

• Experience with Trading

• Strong fixed income, currencies, and commodities product expertise

• Excellent communication skills (verbal, written and interpersonal); ability to concisely articulate complex concepts in a clear manner

• Strong analytical skills with high attention to detail and accuracy

• Professionalism, adaptability and strong collaboration skills

• Ability to translate technical language into plain business language, and to translate business requirements into technology initiatives

• Demonstrated capability to confidently raise issues, escalate early, and engage in constructive credible challenge independently

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.

$111,100.00 - $237,100.00

Benefits

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