Control Management Associate Manager

1 month ago

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

Wells Fargo is seeking a Control Management Associate Manager.

In this role, you will:
  • Supervise Business Controls team of processors and analysts in their daily operational tasks, and evaluate workflow application of policies and procedures to ensure timely completion, quality, and compliance in relevant business groups
  • Identify opportunities for process improvement and risk control development by assessing, managing, and mitigating current and emerging risk exposures associated with activities and operations
  • Recommend operational improvements in less complex functions
  • Make daily supervisory and tactical decisions to resolve business specific risk controls or processes under direction of functional area management
  • Leverage interpretation of policies, procedures, and compliance requirements during implementation of multiple complex initiatives with low to moderate risk
  • Collaborate and consult with front line management and interact directly with relevant business groups
  • Monitor performance of individuals members according to established Business Controls standards and conduct performance evaluations
  • Manage allocation of people and financial resources for Business Controls functional area
  • Mentor and guide talent development of direct reports and assisting in hiring talent.
  • Manages and develop a team of Trade Surveillance Sr Officers / Officers, Associates, Specialists / Sr. Specialists to accomplish group strategic priorities.
  • 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 of strategic FLOD surveillance, monitoring platform and tools.
  • Establish a robust surveillance framework through implementation of a trade surveillance platform, system controls and escalation framework. Review market making and Automated Client execution activity, to assess monitoring requirements.
  • Manage relationships with front office, Implementation team and technology team and data deliverables for Transaction monitoring.
  • Provide Market Integrity training to BAU monitoring teams and business Supervisors (e.g. Sales and Trading Desk heads)
  • Assisting with analysis and implementation of new and enhanced surveillance reviews and processes. Establish and build robust Quality Assurance framework for front line monitoring activities.
  • Perform in-depth pattern analysis of specific high-risk alerts. Perform calibration and back testing of surveillance models and scenarios.
  • Define requirements and design next generation surveillance models that can be used by first line. Create Procedures and System Controls to ensure sustainable controls are documented in line with Wells Fargo's risk Management Framework
  • Manage Model Calibration process to reduce false positives and calibration process documentation and evidence.
  • 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 or steering committees to facilitate decision making and ensure implementation of recommendations and plans including long term, sustainable, highly complex and unique business challenges.
  • Aligned with strategic objectives in Business Controls functional area. Develop and guide a culture of Strong Controls Mindset, talent development to meet business objectives and strategies.
Required Qualifications:
  • .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
Desired Requirements:
  • 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 or any professional degree (CA/FRM/CFA etc.) is required.
  • 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.
  • 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 and controls for large investment banks
  • 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, model development, design and calibration including deep understanding of model design and calibration processes.
  • 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 and Product Management of large-scale global projects
  • Experience in Algo trading or equivalent experience building Algo transaction monitoring models.
  • Advanced quantitative and data analytical skills, with experience in analytics and database tools (e.g. SQL, R, Python)
  • Strong collaboration and partnering skills.
  • Experience working with geographically diverse teams including both multiple domestic and offshore locations.
  • Advanced Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
  • Demonstrated ability to handle multiple tasks in a fast-paced environment.
  • Strong written communication and verbal communication skills in English
  • Excellent analytical skills and strong attention to detail
  • Must exhibit highest standards of integrity and maintain confidentiality.
  • Experience in creating MIS for senior management.
Posting End Date:

*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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