Risk Management Associate Manager
4 weeks ago
Wells Fargo is seeking a highly skilled Risk Management Associate Manager to join our team.
Key Responsibilities:- Supervise Business Controls Team: Lead a team of processors and analysts in their daily operational tasks, ensuring timely completion, quality, and compliance in relevant business groups.
- Identify Opportunities for Process Improvement: Assess, manage, and mitigate current and emerging risk exposures associated with activities and operations.
- Recommend Operational Improvements: Make daily supervisory and tactical decisions to resolve business-specific risk controls or processes under the direction of functional area management.
- Leverage Interpretation of Policies: Implement multiple complex initiatives with low to moderate risk, leveraging interpretation of policies, procedures, and compliance requirements.
- Collaborate with Front Line Management: Collaborate and consult with front-line management and interact directly with relevant business groups.
- Monitor Performance: Monitor performance of individual members according to established Business Controls standards and conduct performance evaluations.
- Manage Resources: Manage allocation of people and financial resources for Business Controls functional area.
- Mentor and Guide Talent: Mentor and guide talent development of direct reports and assist in hiring talent.
- Manage Team: Manage and develop a team of Trade Surveillance Sr Officers/Officers, Associates, Specialists/Sr. Specialists to accomplish group strategic priorities.
- Support Regulatory Remediation: Support regulatory remediation commitments under the Market Conduct program and the buildout of the CIB's ability to monitor for Market misconduct in line with regulatory rules/regulations/expectations.
- Perform Global Delivery: Perform Global delivery of strategic FLOD surveillance, monitoring platform, and tools.
- Establish Surveillance Framework: Establish a robust surveillance framework through implementation of a trade surveillance platform, system controls, and escalation framework.
- Manage Relationships: Manage relationships with front office, Implementation team, and technology team and data deliverables for Transaction monitoring.
- Provide Market Integrity Training: Provide Market Integrity training to BAU monitoring teams and business Supervisors (e.g., Sales and Trading Desk heads).
- Assist with Analysis and Implementation: Assist with analysis and implementation of new and enhanced surveillance reviews and processes.
- Establish Quality Assurance Framework: Establish and build robust Quality Assurance framework for front-line monitoring activities.
- Perform Pattern Analysis: Perform in-depth pattern analysis of specific high-risk alerts.
- Perform Calibration and Back Testing: Perform calibration and back testing of surveillance models and scenarios.
- Define Requirements and Design Models: Define requirements and design next-generation surveillance models that can be used by first-line teams.
- Manage Model Calibration Process: Manage Model Calibration process to reduce false positives and calibration process documentation and evidence.
- Engage with SMEs and Managers: Engage with SMEs and managers at all levels and across multiple lines of business/support functions and serve as an experienced advisor to leadership.
- Lead Team Meetings: Lead team meetings or steering committees to facilitate decision making and ensure implementation of recommendations and plans.
- 2+ Years of Risk Management or Business Controls Experience: 2+ years of Risk Management or Business Controls experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
- 1+ Years of Leadership Experience: 1+ years of Leadership experience.
- Solid Business Execution Experience: Solid Business Execution, Implementation, and Strategic Planning experience, demonstrated through one or a combination of the following: work experience, training, military experience, education.
- Bachelor's/Master's Degree: Bachelor's/master's degree or any professional degree (CA/FRM/CFA etc.) is required.
- 2+ Years of Supervisory Control Experience: 2+ years of Supervisory Control/Trade Surveillance/Transaction monitoring/Information Barrier/Control room experience, or equivalent including direct experience reviewing alerts in Trade/Information Barrier/Control room in a Surveillance role.
- SME with Strong Background: An SME with strong background to CIB Markets, excellent technical skills, and good track record of delivering platform/application delivery.
- Significant Experience Delivering Trading Platforms: Significant experience delivering Trading platforms and controls for large investment banks.
- Extensive Experience in Trade Surveillance: 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).
- Significant Experience with Trade Surveillance Monitoring Systems: Significant experience with trade surveillance monitoring systems, model development, design, and calibration including deep understanding of model design and calibration processes.
- Experience Working on Trading Floor: Experience of working on trading floor in a trading, business manager, or e-Trading analyst capacity and reviewing trade surveillance alerts.
- Advanced Experience in FLOD IT Project Management: Advanced experience in FLOD IT Project and Product Management of large-scale global projects.
- Experience in Algo Trading: Experience in Algo trading or equivalent experience building Algo transaction monitoring models.
- Advanced Quantitative and Data Analytical Skills: Advanced quantitative and data analytical skills, with experience in analytics and database tools (e.g., SQL, R, Python).
- Strong Collaboration and Partnering Skills: Strong collaboration and partnering skills.
- Experience Working with Geographically Diverse Teams: Experience working with geographically diverse teams including both multiple domestic and offshore locations.
- Advanced Microsoft Office Skills: Advanced Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills.
- Demonstrated Ability to Handle Multiple Tasks: Demonstrated ability to handle multiple tasks in a fast-paced environment.
- Strong Written Communication and Verbal Communication Skills: Strong written communication and verbal communication skills in English.
- Excellent Analytical Skills and Strong Attention to Detail: Excellent analytical skills and strong attention to detail.
- Must Exhibit Highest Standards of Integrity: Must exhibit highest standards of integrity and maintain confidentiality.
- Experience in Creating MIS for Senior Management: Experience in creating MIS for senior management.
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