Wells Fargo Business Execution Associate 

India, Karnataka, Bengaluru 

42728377

In this role, you will:

• Participate in planning and executing a variety of programs, services, and initiatives, and monitor key indicators to ensure effective performance and control management of assigned operations or business groups

• Review basic initiatives including policy or process changes, process improvements, technology enhancements, and conduct regular reviews to identify efficiencies and cost savings opportunities
• Receive direction from leaders and exercise independent judgement while developing an understanding of policies and procedures, best practices, and initiatives
• Collaborate and consult with mid-level managers or cross-functional business partners
• Provide work direction to lessexperienced Strategyand Execution staff

Required Qualifications:

• 6+ months of BusinessExecution, Implementation, or Strategic Planning experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Bachelor’s/master’s degree or any professional degree (CA/CS/CFA etc.) is required.
• 4+ years of Supervisory Control/TradeSurveillance/Transactionmonitoring/ Information Barrier/Control room experience, or equivalent including direct experience reviewing alerts in Trade/Information Barrier/Control room in a Surveillance role.
• 6+ months of BusinessExecution, Implementation, or Strategic Planning experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• Be part of the Front-Line Market Conduct and Supervision team and responsible for review, research and disposition of non-market abuse and rule-based trade surveillance/ transaction monitoring alerts across asset classes supporting the Corporate and Investment Banking Markets business.
• Identify any non-compliant activity and escalate questionable trading activity to the onshore team (L2 team); support remediation where required
• Partner with the CIB COO Central Supervision team to ensure adherence to the supervisory framework
• Develop, oversee, and provide independent credible challenge to standards with subject matter expertise.
• Support the development of surveillance controls to identify misconduct and market abuse, including in the testing of next generation systems and performfirst-line-of-defenseactivities in relation to consequential risks.
• Perform basic or tactical ongoing regulatory and operational reviews as well as other duties related to best practices and opportunities for additional synergies to maximize efficiencies.
• Collaborate and consult with onshore teams and India Management for any escalations and process improvement ideas.
• Assist with analysis and implementation of new and enhanced surveillance reviews and processes.
• Ability to work in a matrix global organization structure.
• Extensive experience in the review of tradesurveillance/transactionmonitoring alerts across market conduct / market abuse behaviors as well as rules-based surveillance using surveillance applications
• Strong financial products and financial markets knowledge.
• Proficient knowledge of data sets for trading in Markets products, including but not limited to quotes, orders and executions.
• Knowledge of US/UK Market Abuse or Manipulation Regulations and similar FCA MAR Behaviors
• Knowledge of SEC, FINRA market abuse rules and regulations and FCA MAR Behaviors.
• Interfacing with relevant stakeholders to review and escalate potential manipulative trading behaviors.
• Remain updated on developments and changes concerning relevant regulatory rules/regulations and policies
• Develop and maintain a good understanding of the Firm's business groups and products in accordance with the relevant processes and procedures with a view to expanding and improving existing coverage
• Actively participate in 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
• Must exhibit highest standards of integrity and maintain confidentiality
• Additional surveillance experience in Voice, E-Comms , Information Barrier or Control room will be an added advantage
• Experience in creating MIS for senior management.

23 Feb 2025

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.