Control Management Manager
3 weeks ago
The candidate will work closely with other senior leaders across CIB Control and CIB Ops, and risk and operational partners from elsewhere in the company in the development and execution of company risk management strategies.
Responsibilities
- Manage a team of 8-10 BCMs
- Provide alignment to one or more coverage areas across Broker Dealer Operations, Derivs & Middle Office Operations, Account Onboarding, Tax Operations, FX Operations, new products, fraud, and other line of businesses supported for by the CIB Operations teams.
- Serve as a coverage officer within the control team, with proven knowledge of applicable products, services, processes, systems and customers.
- Continuously engage in discussions with LOB partners on strategy, industry trends, organizational changes, and new/modified markets, systems, products and services, to determine impact and identify and remediate risk control issues across all risk types.
- Contribute to team coverage of engagements such as internal audits, external exam and other control reviews. Ensure LOB awareness and preparations as applicable.
- Lead efforts for issues and corrective actions identified during engagements inclusive of root cause identification, issue intake, alignment of corrective actions as well as any related intake and closure requirements.
- Communicate the pipeline of engagements, issues and any related requirements to ensure that internal and external timelines are met.
- Collaborate with Line of Business (LOB) partners on control design, implementation and monitoring.
- Ensure appropriate connectivity, linkage, and integration with in-region international risk management teams.
- Partner with business control managers and the business to maintain the business process inventory.
- Conduct risk assessments to evaluate the adequacy and effectiveness of policies, procedures, processes, systems, technology and internal controls.
- Awareness and involvement in regulatory change control, and alignment of related controls.
- Contribute to governance routines and management reporting leveraging RCSA data.
- Partner with business control managers to ensure that the RCSA and related risk and control profiles are maintained following any engagements/related issues and corrective actions.
- Manage RCSA triggers, including the assessment of RCSA.
- Coordinate with business and support partners for creation of Self-Disclosed issues in Issues Management system of record.
- Act as the central point of contact for the CIB Business Aligned Control team across key initiatives and risk programs such as RCSA, ERIA, KRI, and related Control review programs.
- Act as the key point of contact for senior leaders and key partners in CIB, IRM, Wells Fargo Audit, regulators, and other constituents; ensure that all inquiries are responded to appropriately and in a timely manner.
- Support of the inventory of business processes, internal testing, audit, regulatory engagements outputs and the integration with RCSA, as applicable.
- Support timelines and preparations for Evidence Based Control Evaluation (EBCE) and QA engagements over the RCSA outputs.
- Responsible to ensure the team is proactively identifying risks and following all the control program requirements (i.e. RCSA execution, trigger events, issues, OREs, incidents, Audit engagements, IT&V, EBCE, etc) timely and with quality
- Provide risk management consulting to the business partner and broader team to support the business in designing and implementing risk-mitigation strategies.
- Collaborate with relevant business group to identify current and emerging risks associated with business activities and operations and provide guidance in developing and implementing risk-mitigating strategies.
- Supports the BCMs in IT&V and Audit reviews to help ensure the conversations stay on track.
- Monitor assigned portfolio of control activities and identify any team knowledge gaps and conduct hands on and timely coaching with actionable plans.
- Identify and champion efficiency opportunities by considering levers such as process or reporting automation, activities might be streamlined.
- Instill a sense of urgency in escalating problems.
- Embed the management of risk into daily business routines
15+ years of Risk Management or Control Management experience
Advanced Microsoft Office (Excel and PowerPoint) skills.
Knowledge and understanding of risk applications i.e. Shared Risk Platform (SHRP) and Service Now (SNOW)
Knowledge and understanding of internal controls and internal control policy.
Experience with RCSA, risk/control identification and assessment, and enterprise risk frameworks
Strong domain and product knowledge of Investment banking operations encompassing client onboarding and maintenance, tax operations, trade life cycle or static data setup is desirable.
Ability to synthesize data and/or observations from a variety of, often disparate and unconnected, sources, deliver succinct summaries (both verbal and written), and enact responses quickly.
Exceptional interpersonal and relationship building skills to effectively influence all organizational and leadership levels, where flexibility, collaboration, and adaptability are a must.
Highly organized and proactive with demonstrated ability to assess, exercise independent judgment, apply prudent risk management principles, prioritize work to meet deadlines, and proactively escalate when necessary.
Ability to be flexible and adjust plans quickly to adapt to changing business needs.
Hands on style; proven ability to structure tasks or projects, execute and achieve targeted results and develop and manage associated goals and plans.
Intellectual curiosity with proven ability to learn quickly through others as well as to conduct their own research and analysis.
Ethical integrity and demonstrated ability to exercise independent judgment and apply prudent risk mitigation principles.
Posting End Date:
29 Jun 2024
*Job posting may come down early due to volume of applicants.
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.
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. 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.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
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