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CIB Control Middle Markets Sales & Trading Control Officer

  • Governance & Controls
  • Full time
  • R-223569

Why Wells Fargo:

This is where your true career begins. We ranked #3 on the 2022 LinkedIn Top Companies list – and #1 among financial services companies – as the best workplace “to grow your career” in the U.S. At Wells Fargo, we support employees’ career aspirations and growth. We’re proud of our employee-welfare-centered business approach and our commitment to diversity, equity, and inclusion in the workplace.

We offer competitive salaries and one of the richest benefits packages in the industry. Our Total Rewards program focuses on wellness, work-life balance and the financial health of our employees.

Our customers invest with us, we invest in you. Apply today.

About this role:

Wells Fargo is seeking a CIB Control – Middle Markets Sales & Trading Control Officer. This position is within the CIB Fixed Income Control organization and will be responsible for providing risk management leadership and expertise to the Middle Markets Sales and Trading teams, as well as providing back-up to the CIB Control Municipal Products Group officer.

The position will be responsible for leading risk identification, assessment, escalation, and mitigation strategies, and will perform programmatic day to day risk and control activities in support of and in partnership with front line business teams.  The leader should demonstrate fixed income securities product and business knowledge.

Learn more about the career areas and lines of business at wellsfargojobs.com

In this role, you will:

  • Serve as the primary day-to-day lead coverage Control officer for Middle Markets Sales & Trading business and primary Control contact for applicable Compliance, Independent Risk, Internal Audit, Operational Risk, Independent Testing and Validation (IT&V) and Business Leadership
  • Responsible for issue management by documenting and assessing control weaknesses and operational risk incidents using methods such as root cause analysis
  • Consult with business process owners to develop corrective action plans and control redesign and oversee implementation progress and conduct control evaluation efforts as required
  • Coordinate with business and support partners for creation of Self-Disclosed issues in Issues Management system of record
  • Management Reporting: Establish and update recurring and timely reports on risks, initiatives, and deliverables for communication with business leaders and risk partners
  • Audits / Reviews:  Conduct advanced planning and coordination with appointed business contacts and internal testing and examination engagement leaders/teams such as Independent Testing and Validation (IT&V), Internal Audit, and Regulatory exams
  • Control development, projects & platform initiatives:  Develop business cases to influence process owners, control owners, business sponsors, and key risk partners on the need for additional or improved controls to mitigate risk; Work with the business and support teams to provide operational risk expertise and consulting for projects and platform initiatives, considering impacts to risk & control framework
  • Ensure appropriate connectivity, linkage, and integration with in-region international risk management teams accountable for LOB activities
  • Work with the business and support teams to provide operational risk expertise and consulting for projects and platform initiatives

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:

  • Front line direct experience with developing and/or executing risk and control assessment programs
  • Understanding of a securities trading business and sales related issues, including municipal products
  • Experience in large and complex banking or broker/dealer institutions, risk management leadership experience in multi-jurisdictional global financial institution
  • Experience with the Enterprise Risk Identification process or similar experience in working with risk personnel in building and implementing risk programs
  • Knowledge of the risk management concepts and policies across risk types (regulatory, financial crimes, credit, operational, etc.)
  • Ability to synthesize data and observations from a variety of sources, deliver succinct summaries (both verbal and written), and enact response quickly 
  • Strong work ethic, self-starter, including being enthusiastic to learn, performance-oriented, with a demonstrated bias toward proactive communication and responsiveness to in-flight demands

Posting Location:

550 S Tryon St Charlotte, NC

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

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.

Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.


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