Trade Surveillance Lead Control Management Officer - Equities

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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 will
Work closely with Risk Owners, Risk Stewards, CIB Surveillance Technology and Surveillance Product Management to enhance and build effective surveillance controls
Provide subject matter expertise with comprehensive knowledge of business and functional area
Review daily alerts related to Trade Surveillance for Equities
Manage key relationships with Business Heads, Desk Heads, Compliance, Chief Operating Office(COO) and CIB Control for Equities
Represent Trade Surveillance on various governance forums
Actively participate in risk assessments and parameters setting activities
Mentor an offshore team supporting the first pass review of trade surveillance alerts
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:
Experience operating rule-based and risk-based Surveillance tools
Experience with Trading
Excellent communication skills (verbal, written and interpersonal); ability to concisely articulate complex concepts in a clear manner
Strong analytical skills with high attention to detail and accuracy
Professionalism, adaptability, and strong collaboration skills
Ability to translate technical language into plain business language, and to translate business requirements into technology initiatives
Demonstrated capability to confidently raise issues, escalate early, and engage in constructive credible challenge independently
Job Expectations:
This position offers a hybrid work schedule at one of the posted locations
Relocation assistance is not available for this position
Visa sponsorship is not available for this position
Posting Locations:
150 E 42nd St - New York, NY 10017
Pay Range
Reflected 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.
$120,000.00 - $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:
15 Oct 2026
*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.