Wells Fargo Senior Control Management Specialist 

India, Karnataka, Bengaluru 

500988398

In this role, you will:

• Participate in identifying, assessing, managing, and mitigating current and emerging risk exposures within Control Management functional area
• Provide risk management consulting to support the business in designing and implementing risk mitigation strategies, business processes, and business controls
• Monitor moderately complex business specific programs and provide risk management consulting to support the business in designing and implementing risk mitigation strategies
• Monitor, measure, evaluate, and report on the impact of decisions and controls to the relevant business group or functional area
• Provide guidance to business groups on the development, implementation, and monitoring of business specific programs to identify, assess, and mitigate risk
• Collaborate with relevant business group to identify current and emerging risks associated with business activities and operations

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:

• Extensive experience in the review of tradesurveillance/transactionmonitoring alerts across market conduct / market abuse behaviors as well as rules-based surveillance using surveillance applications (Actimize, OneTick, , Protegent Market Abuse, Protegent Trading Compliance and Trading Hub).
• Strong understanding of Market Abuse scenarios - FCA MAR, Dodd Frank Act Title VII and CFTC/SEC regulations, etc.
• Prior experience executing a Quality Assurance program, including process documentation and maintaining relevant procedures. Experience in credit, commodities, fixed income, FX, equities, and other derivatives at global financial institutions
• Proficient knowledge of data sets for capital markets trading, including but not limited to quotes, orders and executions.
• In depth knowledge of US/UK Market Abuse or Manipulation Regulations and similar FCA MAR Behaviors, SEC, FINRA market abuse rules and regulations.Familiar with gathering data and corresponding materials in support of internal audits and/or regulatory requests.
• Interfacing with relevant stakeholders to review and escalate potential manipulative trading behaviors.
• Experience with drafting, updating, and maintaining procedure manuals documenting team processes.
• 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
• Experience in creating MIS for senior management.

Job Expectations

• Be part of the Front-Line Market conduct and supervision team and responsible for review, research and disposition of market abuse and rule-based tradesurveillance/transactionmonitoring alerts across the following asset classes: credit, commodities, fixed income, FX, equities, and other derivatives.
• Develop, oversee, and provide independent credible challenge to standards with subject matter expertise, in part through execution of a Quality Assurance (QA) program.
• Support the development and performance of surveillance controls to identify misconduct and market abuse,includinguser-acceptance testing of next generation systems and first line-of-defense monitoring routines 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.
• Identify any non-compliant or suspicious activity and escalate questionable trading activity to the onshore team (L2 team)
• Assisting with analysis and implementation of new and enhanced surveillance reviews and processes

20 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.