In this role, you will:
- Participate in a variety of assigned and ongoing business operations to ensure success in meeting business goals and objectives
- Identify opportunities for process improvement by conducting root cause testing of all compliance and business metrics
- Determine areas of strength or Business Execution opportunity within defined scope of work
- Review and research strategies and action plans to establish effective processes while meeting performance metrics and policy expectations
- Utilize independent judgment to guide moderate risk deliverables
- Present recommendations to develop, implement, and monitor strategic approaches, effectiveness of support function, and business performance improvement opportunities for managing risks of the business
- Exercise independent judgment and provide guidance in diverse support functions and operations for a single business group within a line of business
- Collaborate and consult with leaders and executive management
- Provide work direction to lessexperienced Strategyand Execution staff
- Be part of the front-line Business Aligned Supervisory Support team and responsible for review, research and disposition of trade surveillance/ transaction monitoring alerts to identify potential misconduct and policy breaches across asset classes supporting the CIB Markets business.
- Perform CIB Markets controls and activities across asset classes for compliance with regulatory and internal requirements.
- Identify any non-compliant activity and escalate questionable trading activity to the onshore team (L2 team); support remediation where required.
- Collaborate and consult with onshore teams and India Management for any escalations and process improvement ideas.
- Partner the internal stakeholders (Controls, Compliance, Line of Business Chief Operating Officers) ensure adherence to the bank’s supervisory framework and to maximize efficiencies.
- Remain updated on developments and changes concerning relevant regulatory rules/regulations and policies.
- Actively participate in team meetings. Bringing solutions / suggestions / recommendations to the table.
- Develop, oversee, and provide independent credible challenge to standards with subject matter expertise.
- Assist with analysis and implementation of new and enhanced business controls and processes.
- Provide work direction to lessexperienced staff.
Required Qualifications:
- 2+ years ofBusiness Execution, Implementation, or Strategic Planningexperience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
- Experience in trade surveillance, transaction monitoring, information barriers, or equivalent including direct experience reviewing alerts in trade surveillance role.
- Ability to work in a matrix global organization structure.
- 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 U.S., U.K. and Asia regulations.
- 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 and capability to work with business analytics tools (PowerBI, Tableau, Qlickview, MS Dynamics).
Job Expectations:
- Bachelor’s/master’s degree or any professional degree (CA/CS/CFA etc.) is required.
- Supervisory and surveillance controls experience in a global bank.
7 Apr 2025
Wells Fargo Recruitment and Hiring Requirements:
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.