Senior Control Management Specialist

2 weeks ago

Bengaluru, India WELLS FARGO BANK Full time
About this role:

Wells Fargo is seeking a Senior Control Management Specialist.

In this role, you will:
  • Participate in identifying, assessing, managing, and mitigating current and emerging risk exposures within Control Management functional area
  • Provide risk management consulting to support the business in designing and implementing risk mitigation strategies, business processes, and business controls
  • Monitor moderately complex business specific programs and provide risk management consulting to support the business in designing and implementing risk mitigation strategies
  • Monitor, measure, evaluate, and report on the impact of decisions and controls to the relevant business group or functional area
  • Provide guidance to business groups on the development, implementation, and monitoring of business specific programs to identify, assess, and mitigate risk
  • Collaborate with relevant business group to identify current and emerging risks associated with business activities and operations
Required Qualifications:
  • 4+ 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:
  • Experience in Risk Management oversight (Line 1 or Line 2) in a Global Bank or Financial Services organization.
  • Exposure to Consumer, Small and Business Banking will be an added advantage.
Job Expectations:
  • The following Risk Management lifecycle stage related skills are expected:
  • Incorporate risk considerations into decision making, including strategic initiatives
  • Execute effective governance committees
  • Help establish front line statements of risk appetite
  • Following Risk Management lifecycle stage capabilities are expected:
  • New Business Initiatives

    Incorporate risk considerations into decision making, including strategic initiatives

    Governance Committees

    Execute effective governance committees

    Risk Appetite

    Help establish front line statements of risk appetite

    RCSA - Execution

    Readiness

    Pre-Workshops

    Workshops

    Post-Workshops

    RCSA - Annual Refresh

    Preparedness - Review of history, delta changes, BECs etc.

    Execution - Determining Change Levels and conducting workshops as required

    Post-Execution - Submission of CRs through SharePoint or RCSA Next Gen Tool

    Issue Management

    Capture - Identify Issue, PVC, capture in SOR within SLAs

    Plan - Review CA(s)/RCA/RA/CIA

    Mitigate - Help Develop corrective actions to remediate control breakdowns etc.

    Horizontal Reviews

    Consistent application and assessment of risks across similar RAUs across the BG/EF and across the bank

    Consistent application and assessment of MCRs across similar RAUs across the BG/EF and across the bank

    Risk Type Reviews across all RAUs for consistency in applicability and assessment of expected controls

    Review of Control Inventory for consistent application of controls across similar risks

    Escalation Management

    Disposition potential escalations and input into the SOR

    Complaints Management

    Perform root cause analysis with RAU/Control owners & key stakeholders

    Change Management

    Execute change management protocols when implementing new business initiatives, Organizational Change and new and revised requirements

    Enterprise Risk Identification and Assessment

    Support Assessment of Risks applicable to respective business area

    Operational Risk Events

    Near Misses - Perform root cause analysis with RAU/Control owners & key stakeholders

    Internal Losses - Perform root cause analysis with RAU/Control owners & key stakeholders

    Internal Control Policy

    Governance and Hygience checks on Control Inventory

    Review, update and maintain control documentation and assessments including procedures for completeness and consistency

    Issue Management

    Monitor, Manage and close issues through the issue management lifecycle

    Issue testing and validation

    Control Inventory Reviews and Automation Opportunities

    Review of the Control Inventory for Rationalization Opportunities / Shared Controls

    Review of Control Inventory for Automation Opportunities

    Review of Control Inventory for consistent application of controls across similar risks

    Measures and Metrics

    Establish metrics, measures and trigger events and monitor triggers or boundary breaches

    Self Assurance Activities

    Engage with EBCE for testing, remediaton post testing

    Issue Management

    Monitor Issues & Cas for updates until closure

    RCSA - Trigger / Change Management

    Monitoring of triggers and the business environment

    Determine Impact on business and review for adjustments to RCSA

    Disposition BEC and Execute adjustments in RCSA - Submission of CRs through SharePoint or RCSA Next Gen Tool

    Governance Committees

    Risk & Control Committees/Councils/Forums

    Issue Management

    Sustainability - Complete test of design (CA completion) and performance (sustainability); documentation for Issue closure

    Readiness

    Engaged in business led audit, exam, and issue validation management, which may include active "inspection readiness" activities.

    Enterprise Risk Identification and Assessment
    Complete ERIA Inventory Assessment for each risk applicable to LOB
Posting End Date:
5 Dec 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.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

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