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E-Trading Lead Control Officer

2 months ago

Charlotte, North Carolina, United States Wells Fargo Full time
About this Role

We are seeking a highly skilled and experienced Lead Control Management Officer to join our Corporate & Investment Banking (CIB) Control Team. This role will be responsible for implementing and managing the First Line of Defense corporate risk program requirements for Electronic Trading across Capital Markets.

Key Responsibilities
  • Develop and maintain a detailed understanding of Electronic Trading, including its risks and controls.
  • Collaborate with business control managers to ensure that E-Trading processes, risks, and controls are identified and reviewed regularly for accuracy.
  • Identify, investigate, review, and document E-Trading related Operational Risk Events and coordinate remediation efforts.
  • Establish and maintain a robust E-Trading framework by establishing E-Trading best practices, optimizing E-Trading Policy standards, and enhancing internal documentation.
  • Develop and maintain a comprehensive inventory of all relevant business processes, governance channels, internal testing, audit, regulatory engagements, and prioritize internal preparation, review routines, and integration with RCSA as applicable.
  • Establish regular routines with corporate risk, testing & validation, and audit partners to provide transparency into business risk profile and trends as well as ongoing governance initiatives.
  • Conduct risk assessments to evaluate the adequacy and effectiveness of policies, procedures, processes, systems, technology, and internal controls.
  • Report risk assessment findings through corporate risk reporting channels and develop business cases to influence control owners and business sponsors on the need for additional or improved controls to mitigate risk as applicable.
  • Ensure a proper LOB profile of applicable regulations and associated controls as well as residual risks and compensating controls are maintained and continuously updated in appropriate systems of record on an ongoing basis.
  • Analyze business, industry, system changes, or other material business environment changes relevant to E-Trading to determine impact, identify, and assess potential operational risk issues.
  • Collaborate with, guide, and counsel LOB process and control owners for Control Assurance, including identifying where controls reside, managing control changes, evaluating effectiveness, and functioning as liaison to control assurance team in Governance & Programs.
  • Provide reporting, written and verbal updates, to relevant LOB risk oversight councils, CIB/Wholesale and Enterprise risk committees as issues/incidents arise that require escalation.
Requirements
  • 5+ 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
  • Strong working knowledge of Electronic Trading platforms, Capital Markets businesses, and the relevant risks and controls associated with these types of businesses.
  • Working knowledge of the Risk Management Framework (RMF) concepts and policies across risk types (regulatory, financial crimes, credit, operational, etc.).
  • Excellent communication skills (verbal, written, and interpersonal); ability to concisely articulate complex concepts in a clear manner.
  • Strong analytical skills with high attention to detail and accuracy.
  • Highly professional, adaptable, and pro-active mindset.
  • Demonstrated capability to confidently raise issues, escalate early, and engage in constructive credible challenge independently.
  • Advanced Microsoft Office skills.
  • Technical understanding of specific business operations, processes, products, and customer interactions where they manifest risk.
  • Ability to develop high-performing, diverse risk structure in a highly matrixed environment.
  • Ability to assess and determine when to raise concerns and escalate.
  • Pro-actively resolve conflict and maintain objectivity.
  • Ability to conceptualize, develop, and deliver quality analysis and highly actionable management information.
  • Demonstrated capacity to pro-actively and independently analyze and solve problems and address risks.
Benefits
  • Health benefits.
  • 401(k) Plan.
  • Paid time off.
  • Disability benefits.
  • Life insurance, critical illness insurance, and accident insurance.
  • Parental leave.
  • Critical caregiving leave.
  • Discounts and savings.
  • Commuter benefits.
  • Tuition reimbursement.
  • Scholarships for dependent children.
  • Adoption reimbursement.