Control Management Specialist

Control Management Specialist

Wells Fargo is seeking a Control Management Specialist within Equities Trade Surveillance. The Corporate & Investment Banking (CIB) 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 Wells Fargo Bank, National Association) including regional branches, and its Global Payments Services, Mortgage Servicing, Fraud & Claims Management (FCM), and Prime Services businesses. The Trade Surveillance Equities Subject Matter Expert (SME) will report to the Head of Trade Surveillance SMEs and will be responsible for the design, implementation, and execution of trade surveillance controls in Rates, while escalating potential issues to Senior Management. Crucial to this role is 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 Equities/FX/Fixed income Trade Surveillance.
• Maintain key relationships with Business Heads, Desk Heads, Compliance, Chief Operating Office (COO), and CIB Control for Equities.
• Actively participate in risk assessments and parameters setting activities.
• Work with an offshore team supporting the first pass review of trade surveillance alerts.

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:

• 2+ years of experience with the operation and optimization of both rule-based and risk-based trade surveillance platforms (e.g., Actimize, SMARTS, Trading Hub etc.), ensuring timely detection and escalation of potential market abuse breaches.
• 5 years hands on experience in trading workflows across asset classes (equities, fixed income, and/or derivatives to identify anomalous patterns, support compliance investigations, and enhance surveillance logic.
• 3+ years of Equities Trading experience preferred.
• 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: $60,000.00 - $91,000.00

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement

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.