Lead Control Management Officer - Unauthorized Trading, Trade Surveillance

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About this role:
Wells Fargo is seeking a Lead Control Management Officer (VP) to join our Corporate and Investment Banking (CIB) Trade Surveillance team, with a dedicated focus on Unauthorized Trading. This critical role identifies, assesses, and mitigates risks associated with trading activities that fall outside of approved mandates, strategies, or controls. The successful candidate will have in-depth understanding of Corporate & Investment Banking's Businesses, products, key financial/non-financial risks and controls, excellent communication skills, attention to detail, ability to multi-task, and a self-driven work approach.
In this role, you will:

• Lead design, implementation, and enhancement of surveillance controls to detect and prevent unauthorized trading across asset classes
• Analyze trade lifecycle events and booking models to identify gaps or anomalies indicating unauthorized activity
• Collaborate with front office, compliance, risk, and technology teams to ensure comprehensive surveillance coverage
• Develop and maintain metrics and reporting frameworks to monitor control effectiveness and escalate issues
• Investigate unauthorized trading alerts and ensure timely resolution and documentation
• Assist in defining requirements and analyzing data to build evidence-based control activities
• Perform data analysis across centralized and decentralized sources to enable automation
• Develop prototypes and refine controls with support functions
• Execute control activities in business as usual and escalate identified exceptions such as anomalous trades or trading outside mandates
• Support end-to-end control design, data analysis, testing, and implementation for Unauthorized Trading
• Enable ongoing monitoring and develop sustainable mechanisms against mandates
• Engage with business heads, control teams, and leadership to socialize and calibrate controls
• Partner with Compliance to execute policies, procedures, and governance routines
• Generate ad-hoc reports and materials for senior leadership on control outcomes, KRIs, and KPIs
• Stay informed on industry trends, regulatory developments, and emerging trading conduct risks

Required Qualifications, US:

• 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:

• 3 + years of experience in Capital Markets business environment, including products and services, data flows, trade lifecycle(s) and relevant risks
• 3+ years of experience identifying, assessing, evaluating, documenting, and reporting effective controls, control procedures and control gaps, to mitigate and support operational and compliance risk
• Advanced data analytics tooling experience (e.g., SQL, Python, R and/or similar) preferred
• Experience partnering with technology and product owners throughout technology development lifecycle
• Ability to support ongoing tracking against project plans, and execute on the different phases of the delivery lifecycle
• Advanced Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
• Ability to identify, assess and confidently raise risks and issues, escalate early, and independently engage in constructive credible challenge
• Ability to take on a high level of responsibility, initiative, and accountability with minimal supervision in a structured environment
• Experience communicating in both written and verbal formats with senior executive-level leaders
• Ability to influence, partner, and negotiate solutions to issues with senior business leaders to gain commitment to accomplish business goals

Job Expectations:

• This position offers a hybrid work schedule

Relocation assistance is not available for this position:
Locations:
550 S Tryon St. Charlotte, NC
401 S Tryon St. Charlotte, NC
1525 W. WT Harris Blvd, Charlotte, NC
This position is not eligible for Visa Sponsorship
Job posting may come down early due to volume of applicants
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 - $163,000.00
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:
10 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 .
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Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
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