Wells Fargo Senior Control Management Specialist - CIB Operations 

United States, North Carolina, Charlotte 

470942711

Control Coverage & Specialized Support

• Provide control coverage for Non-Financial Regulatory Reporting Operations, Transaction Reporting Operations, and potentially other lines of business under CIB Operations teams
• Provide specialized support for Non-Financial Regulatory Reporting Operations, including SLATE (SEC Rule 10c-1a) controls, TRACE, and Electronic Blue Sheet reporting
• Expand understanding of stock loan and fixed income trade processes, and post-trade regulatory reporting

Risk Reporting & Regulatory Engagement

• Support regulatory exams and audits related to transaction and regulatory reporting, including preparation, coordination, and response activities
• Monitor regulatory developments impacting transaction reporting controls and partner with stakeholders to implement necessary control changes
• Awareness and involvement in regulatory change control, and alignment of related controls
• Contribute to governance routines and management reporting leveraging RCSA data
• Communicate the pipeline of engagements, issues, and any related requirements to ensure that internal and external timelines are met

Risk & Control Management

• Serve as a business control management (BCM) within the control team, with proven knowledge of applicable products, services, processes, systems, and customers
• Conduct risk assessments to evaluate the adequacy and effectiveness of policies, procedures, processes, systems, technology, and internal controls
• Partner with business control managers and the business to maintain the business process inventory
• Partner with business control managers to ensure that the RCSA and related risk and control profiles are maintained following any engagements/related issues and corrective actions
• Manage RCSA triggers, including the assessment of RCSA
• Coordinate with business and support partners for creation of Self-Disclosed issues in Issues Management system of record
• Control documentation, control evaluation, control implementation, and monitoring

Issue Management & Remediation

• Identify errors in transaction reporting, research root causes, initiate remediation, make corrections, and track resolutions
• Lead efforts for issues and corrective actions identified during engagements inclusive of root cause identification, issue intake, alignment of corrective actions, and closure requirements

Strategic Collaboration & Oversight

• Continuously engage in discussions with operations partners on strategy, industry trends, organizational changes, and new/modified markets, systems, products, and services to determine impact and identify and remediate risk control issues across all risk types
• Collaborate with reporting teams to assess and enhance control frameworks specific to transaction and regulatory reporting processes
• Collaborate with Operations partners on control design, implementation, and monitoring
• Ensure appropriate connectivity, linkage, and integration with in-region international risk management teams
• Lead the strategy and resolution of highly complex current and emerging risks requiring in-depth evaluation across multiple areas or the enterprise, as well as good understanding of data management and other operational risks
• Monitor, measure, evaluate, and report impact of decisions and business controls to the relevant business group and enterprise function

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:

• Knowledge of stock loan processing
• Knowledge of TRACE reporting
• Knowledge of Electronic Blue Sheets Reporting
• Experience with transaction reporting
• Knowledge and understanding of risk applications i.e. Shared Risk Platform (SHRP) and Service Now (SNOW) and Veritas
• Knowledge and understanding of internal controls and internal control policy
• Experience with RCSA, risk/control identification and assessment, and enterprise risk frameworks
• Strong domain knowledge of Investment banking operations is desirable
• Ability to synthesize data and/or observations from a variety of, often disparate and unconnected, sources, deliver succinct summaries (both verbal and written), and enact responses quickly
• Exceptional interpersonal and relationship building skills to effectively influence all organizational and leadership levels, where flexibility, collaboration, and adaptability are a must
• Highly organized and proactive with demonstrated ability to assess, exercise independent judgment, apply prudent risk management principles, prioritize work to meet deadlines, and proactively escalate when necessary
• Experience working with Technology in an agile environment
• Strong skillset in data analysis, critical thinking and networking
• Demonstrated leadership and communication abilities
• Advanced Microsoft Office (Excel and PowerPoint) skills

Job Expectations:

• Ability to travel up to 10% of the time

• This position offers a hybrid work schedule

• Ability to work at one of the posting location(s)

• Relocation is not offered for this role

Posting Locations:

• 550 S Tryon, Charlotte, NC

Wells Fargo Recruitment and Hiring Requirements:

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