E-Trading CIB Vice President Lead Control Officer

About this role:
Wells Fargo is seeking a Lead Control Management Officer within the Corporate & Investment Banking (CIB) Control Team, which is responsible for the implementation and management of the First Line of Defense corporate risk program requirements. This position will support Electronic Trading (E-Trading) across Capital Markets. The E-Trading Business Control Officer will be an individual contributor responsible for the line of business risk, control and governance programs. Crucial to this role is a detailed understanding of E-Trading, in addition to the principles of operational risk management as prescribed by the Basel Committee.
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 responsible for execution of 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.
In this role you will:

• Serve as primary control contact for Corporate & Investment Banking (CIB) Electronic Trading (E-Trading) with proven knowledge of products, services, processes, systems, and customers
• Engage with Line of Business (LOB) partners on strategic and operational matters: Discuss strategy, industry trends, organizational changes, and new/modified markets, systems, products, and services to assess impact and remediate risk across all types, including financial risks
• Execute and manage core risk programs: Oversee Risk and Control Self-Assessment (RCSA), Self-Assurance, Issues Management, loss capture, and related enterprise risk programs such as Business Continuity Planning (BCP), Information Security, Sales Practices, and Conduct Risk
• Manage E-Trading governance forums: Ensure appropriate structure and documentation
• Advise on control design and implementation: Collaborate with Control and LOB partners to mitigate risks specific to E-Trading
• Coordinate with control team managers: Ensure E-Trading processes, risks, and controls are accurately identified and reviewed regularly
• Investigate and document Operational Risk Events: Identify E-Trading-related events and coordinate remediation
• Support E-Trading Governance Framework initiatives: Guide LOB partners in assessing operational risk exposure and ensuring consistent policy adherence across Markets
• Drive E-Trading framework enhancements: Establish best practices, optimize policy standards, and improve internal documentation
• Build inventory of business processes and governance channels: Include internal testing, audit, regulatory engagements, and integrate with RCSA where applicable
• Establish routines with risk and audit partners: Provide transparency into business risk profile, trends, and governance initiatives
• Conduct risk assessments: Evaluate adequacy and effectiveness of policies, procedures, systems, technology, and internal controls
• Report findings and influence control improvements: Use corporate risk channels to escalate and advocate for enhanced controls
• Maintain regulatory control profiles: Ensure ongoing updates of applicable regulations, residual risks, and compensating controls in systems of record
• Analyze business and industry changes: Assess impact and identify potential operational risk issues related to E-Trading
• Support Control Assurance efforts: Guide LOB process and control owners in managing control changes and liaise with Governance & Programs team
• Provide risk reporting and updates: Deliver written and verbal updates to LOB risk councils, CIB/Wholesale, and Enterprise risk committees as needed

Required Qualifications:

• 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:

• Knowledge of Electronic Trading and Capital Markets: Strong understanding of platforms, business operations, and associated risks and controls
• Familiarity with Risk Management Framework (RMF): Working knowledge of RMF concepts and policies across regulatory, financial crimes, credit, and operational risk types
• Excellent communication skills: Ability to clearly articulate complex concepts verbally, in writing, and interpersonally
• Strong analytical capabilities: High attention to detail and accuracy
• Professional and proactive mindset: Adaptable and highly engaged approach
• Ability to escalate and challenge effectively: Confidently raise issues and engage in credible challenge independently
• Advanced Microsoft Office proficiency: Skilled in using Excel, Word, PowerPoint, etc.
• Technical understanding of business operations: Insight into processes, products, and customer interactions where risk manifests
• Leadership in risk structure development: Ability to build high-performing, diverse teams in a matrixed environment
• Judgment in escalation: Ability to assess and determine when to raise concerns
• Conflict resolution and objectivity: Proactively resolve issues while maintaining neutrality
• Analytical and reporting skills: Ability to develop and deliver actionable management information
• Problem-solving and risk mitigation: Demonstrated ability to independently analyze and address risks

Pay Range
Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.
$100,000.00 - $196,000.00
Benefits
Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement

Posting End Date:
12 Sep 2025
* Job posting may come down early due to volume of applicants.
We Value Equal Opportunity
Wells Fargo is an equal opportunity employer. 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.
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.
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.