E-Trading Lead Control Officer

3 weeks ago

New York, New York, 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 E-Trading and operational risk management principles.
  • Collaborate with LOB partners to identify and remediate risk issues across all risk types, including financial risks.
  • Execute and manage the advancement of core risk program requirements, such as RCSA, Self-Assurance, Issues Management, and loss capture.
  • Manage E-Trading governance forums and ensure the appropriate structure and documentation.
  • 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.
  • Support the E-Trading business to drive a robust E-Trading framework by establishing E-Trading best practices, optimization of E-Trading Policy standards, and enhancing internal documentation.
  • Establish regular routines with corporate risk, testing & validation, and audit partners to provide transparency into business risk profile and trends.
  • 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.
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 proactive 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.
  • Proactively resolve conflict and maintain objectivity.
  • Ability to conceptualize, develop, and deliver quality analysis and highly actionable management information.
  • Demonstrated capacity to proactively and independently analyze and solve problems and address risks.

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