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Communications Surveillance

3 months ago

New York, United States Wells Fargo Full time

**About this role**:
**In this role, you will**:

- Act as an advisor to senior leadership to develop or influence plans, specifications, resource needs, and goals for multi-faceted, highly complex, or long-term risk mitigation and control strategies on behalf of the business
- Lead the strategy and resolution of highly complex current and emerging risks which require understanding of business-specific knowledge related to financial crimes, operational risk, audit, legal, credit risk, market risk, IT, systems security, business process management, and applicable business acumen
- Provide vision, direction, and expertise to senior leadership on implementing innovative and significant business solutions that are large-scale, multi-faceted, long-term, or companywide strategies
- Strategically engage with all levels of professionals and managers companywide and serve as an expert advisor to leadership
- Develop change management routines, including governance forums, QA processes and surveillance metrics reporting to demonstrate controls effectiveness
- Standardize test procedures and records to ensure decisions regarding parameters and lexicons are explainable to regulators, audit partners, and other stakeholders
- Conduct periodic assessments of controls to identify gaps, retire or modify low functioning surveillances, and pinpoint areas for enhancement
- Develop remediation plans in response to audit and regulatory findings
- Oversee surveillances system migrations and implementation of AI, NLP, and LLM's
- Ensure all models follow internal MRM requirements and align with the Fed's SR 11-7 guidance
- Liaise with surveillance system vendor and/or internal product owner regarding RFEs, technical inquiries, and contract-related items

**Key Responsibilities**:
Governance and Program Administration, which includes:

- Program governance and risk reporting
- Resource planning
- Coordination with key partners in IRM, Audit, Issues Management, etc....
- Oversite metrics including risk and performance metrics, general MI for compliance, business and risk committees
- Execution of controls to support the operational health of the program
- Intake and regulatory change impact assessment
- Control design and assessment

Product Owner, which includes:

- Platform development and capabilities strategy
- Forecasting and coordination of investment spend
- New Channel and Communication Platform Reviews
- ABO ownership, Cloud, Data Privacy, Accessibility & vendor strategy
- Support of issue remediation & platform development, including agile product registry
- Assessment of adherence to Wells Fargo technical standard, data requirements and entitlements, and certifications
- Manage product book of work, releases and testing
- Run Agile development routines

**Required Qualifications**:

- 7+ years of risk management, business controls, quality assurance, business operations, compliance, or process experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

**Desired Qualifications**:

- Experience in business support, product management, and/or oversight controls related to technology surveillance organizations
- 7+ years Risk and Compliance experience within Financial Services preferably Corporate and Investment Banking (CIB) or Commercial Banking (CB)
- Experience working within CIB and knowledge of lines of business, products, operations, and regulatory environment
- Experience conducting periodic assessments of controls to identify gaps and areas for enhancement, making modifications, and developing remediation plans in response to audit and regulatory findings
- Strong change management skills and excellent critical thinking skills to help solve business problems
- Strong partnering and collaboration skills
- Experience with strategic planning and execution of large, transformational initiatives in a highly matrixed environment
- Strong, clear and concise written and oral communication skills
- Strong analytical skills with high attention to detail and accuracy
- Strong organization, multi-tasking and prioritization skills
- Advanced Microsoft Office skills and ability to create executive level presentations
- Ability to effectively operate and positively influence, motivate, and direct diverse teams in a geographically dispersed environment
- FINRA registration including one of the following: Series 7, Series 24, or FINRA recognized equivalents. Licenses not required for role.

**Job Expectations**:

- Ability to travel up to 10%

**Posting Locations**:
Charlotte, NC: 550 South Tryon

New York, NY: 30 Hudson Yards

**Pay Ranges**:
Charlotte, NC: $144,400 - $300,000 Annually

New York, NY: $144,400 - $300,000 Annually

**Pay Range**
$144,400.00 - $300,000.00

**Benefits**

Wells Fargo provides all eligible full
- and part-time employees with a comprehensive set of benefits designed to protect their physical and financial health and to he