Trade Surveillance Lead Control Management Officer - Equities

Why Wells FargoAre you looking for more? Find it here. At Wells Fargo, we're more than a financial services leader – we’re a global trailblazer committed to driving innovation, empowering communities, and helping our customers succeed. We believe that a meaningful career is much more than just a job – it’s about finding all of the elements to help you thrive, in one place.Living the Well Life means you’re supported in life, not just work. It means having robust benefits, competitive compensation, and programs designed to help you find work-life balance and well-being. You’ll be rewarded for investing in your community, celebrated for being your authentic self, and empowered to grow. Join us!About this role:Wells Fargo is seeking a Lead Control Management Officer within Equities Trade Surveillance. The Corporate & Investment Banking (CIB) Control organization serves as the front line of risk management and is accountable for assessing and effectively managing all associated risks for their groups. This team works to ensure internal controls, processes, and procedures are adequate and effective, and executive management understands the risks, exposures, and trends that impact the business.The group also collaborates on projects and initiatives by providing support and awareness of risks and mitigating control solutions. The Trade Surveillance Subject Matter Expert (SME) will report to the Head of Trade Surveillance SMEs and will be responsible for the design, implementation, and execution of trade surveillance controls in Equities, while escalating potential issues to Senior Management. Crucial to this role is extensive product knowledge, and potentially ex-trading experience, as well as experience in trade surveillance scenario design, implementation, parameter setting, alert dispositioning and support with investigations.In this role, you willWork closely with Risk Owners, Risk Stewards, CIB Surveillance Technology and Surveillance Product Management to enhance and build effective surveillance controlsProvide subject matter expertise with comprehensive knowledge of business and functional areaReview daily alerts related to Trade Surveillance for EquitiesManage key relationships with Business Heads, Desk Heads, Compliance, Chief Operating Office(COO) and CIB Control for EquitiesRepresent Trade Surveillance on various governance forumsActively participate in risk assessments and parameters setting activitiesMentor an offshore team supporting the first pass review of trade surveillance alertsRequired 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, educationDesired Qualifications:Experience operating rule-based and risk-based Surveillance tools Experience with TradingExcellent communication skills (verbal, written and interpersonal); ability to concisely articulate complex concepts in a clear mannerStrong analytical skills with high attention to detail and accuracyProfessionalism, adaptability, and strong collaboration skillsAbility to translate technical language into plain business language, and to translate business requirements into technology initiativesDemonstrated capability to confidently raise issues, escalate early, and engage in constructive credible challenge independentlyJob Expectations:This position offers a hybrid work schedule at one of the posted locationsRelocation assistance is not available for this positionVisa sponsorship is not available for this positionPosting Locations:550 S Tryon St. - Charlotte, NC 28202Pay RangeReflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.$100,000.00 - $163,000.00Benefits 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 benefits401(k) PlanPaid time offDisability benefitsLife insurance, critical illness insurance, and accident insuranceParental leaveCritical caregiving leaveDiscounts and savingsCommuter benefitsTuition reimbursementScholarships for dependent childrenAdoption reimbursementPosting End Date:9 Oct 2026*Job posting may come down early due to volume of applicants.We Value Equal OpportunityWells 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 DisabilitiesTo request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.Drug and Alcohol PolicyWells 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.#DNP-INDSummaryLocation: CHARLOTTE, NCType: Full time