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Wells Fargo
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Senior Control Management Specialist-Trade surveillance

Senior Control Management Specialist-Trade surveillance

Wells Fargo

4 - 9 years

7 - 11 Lacs

hyderabad

Posted:4 hours ago| Platform:

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Skills Required

trade management consulting trading risk management data analysis operations regulatory changes compliance business processes legal risk mitigation research

Work Mode

Work from Office

Job Type

Full Time

Job Description

About this role:

Wells Fargo is seeking a Senior Control Management Specialist

In this role, you will:

Participate in identifying, assessing, managing, and mitigating current and emerging risk exposures within Control Management functional area
Provide risk management consulting to support the business in designing and implementing risk mitigation strategies, business processes, and business controls
Monitor moderately complex business specific programs and provide risk management consulting to support the business in designing and implementing risk mitigation strategies
Monitor, measure, evaluate, and report on the impact of decisions and controls to the relevant business group or functional area
Provide guidance to business groups on the development, implementation, and monitoring of business specific programs to identify, assess, and mitigate risk
Collaborate with relevant business group to identify current and emerging risks associated with business activities and operations

Required Qualifications :

4+ 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 in Trade surveillance Market abuse monitoring or compliance operations
Strong understanding of market abuse risks surveillance scenarios and regulatory requirements.

Job Expectations:

Policy, Procedure and Framework Oversight:
- Drafting, updating, and maintaining governance procedures for Trade Surveillance.
- Ensuring procedures align with internal, legal and regulatory requirements.
- Regularly review and update surveillance governance frameworks to reflect changes in trading practices and regulations

Risk Management Support:
- Assisting in identifying and mitigating governance-related risks as defined within our Team Procedures and Operating Model.
- Supporting High Priority Regulatory Initiatives.

Data Analysis and Metrics:
- Analyzing Trade Surveillance data to identify trends or areas for improvement.
- Developing key performance indicators (KPIs) for governance effectiveness.

Reporting and Documentation:
- Preparing Trade Surveillance reports for senior management.
- Provide regular reporting on the effectiveness and findings of the surveillance program.
- Maintaining accurate records of governance activities and decisions.

Stakeholder Engagement:
- Coordinating with internal departments (legal, compliance, audit) to ensure governance alignment.
- Work with compliance, legal, and IT teams to ensure effective surveillance coverage.
- Attend team meetings and contribute to discussions on risk and compliance strategy.

Trade Surveillance & Investigation:
- Promoting a culture of accountability and transparency.
- Execute and disposition daily surveillance alerts across assigned asset classes.
- Identify unusual trading pattern, trends, behaviors and potential market abuse indicators.
- Conduct detailed investigation documents finding surveillance scenarios.

Regulatory Research

Keeping up to date with changes in laws and regulations that impact Trade Surveillance.
Advising on implications of regulatory changes.

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