Control Management Associate

• About this role:

Wells Fargo is seeking a Control Management Associate.

In this role, you will:

• Participate and provide support for initiatives with low-risk within the Business Controls functional area
• Review basic issues, policies, or procedures for which answers can be quickly obtained Support business with risk mitigation strategies, business processes, and controls that effectively mitigate risks and appropriately address requirements of applicable statutes, regulations, and risk governance documents
• Receive direction from supervisors and exercise judgment within defined parameters while developing understanding of function, policies, procedures, and compliance requirements
• Provide information to managers, functional colleagues, and key stakeholders, including internal customers after monitoring, measuring, and evaluating the impact of decisions on the relevant business group and enterprise function

Required Qualifications:

• 6+ months of Risk Management or Business Controls experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Requirements:

• Extensive experience in the review of trade surveillance/transaction monitoring 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 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.

Posting End Date:

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in US: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.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

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Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our to learn more.

Wells Fargo Recruitment and Hiring Requirements:

1. Third-Party recordings are prohibited unless authorized by Wells Fargo.
2. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.