About this role:

CIB Control monitoring team supports Market Conduct & Supervision program and is responsible for monitoring of identified controls as part of ICP (Internal Control Policy) and monitoring of level 2 risk types of related controls for Conflicts of Interest, Central Business Supervision, Analytics and Reporting. For this role, we are looking for a candidate with good understanding of Risk Management, CIB Business, good exposure in Employee Licensing and Registration(L&R), Non-Registered Associated Person (NRAP) framework, Personal Account Dealing (PAD) and support Management information reporting (Conduct, Metrics, KRI etc), effective supervision and control of Market Conduct Risk and Internal Risk policy experience will be preferred.

Responsibilities

Individual contributor role focusing on monitoring conduct risk related controls for CIB business.Validate & track action plans, escalate issues as required and document the control artifacts and findings.Perform periodic reviews for medium to complex engagements, challenge status-quo and identify opportunities to add efficiencies or refining the existing processes.Should have project management, data management, advanced reporting and tracking/analytical skills.Design, maintain and execute the ICP program, identify control deficiencies, document and escalate potential issues to appropriate stakeholders.Mentor and guide junior associates, oversee the timely completion of all activities and documentation.Engage and work with multiple stakeholders - Front Line Risk Type Groups (Level 2) and CIB Business stakeholders.Instill and drive proactive risk culture, operational excellence and efficiencies.

Essential Qualifications

Overall experience of 8+ years with 6 years of relevant experience in Investment Banking industry and/or Risk & Control domains covering Compliance Reporting, Risk Management etc.Strong analytical skills with high attention to detail and accuracy.Excellent interpersonal communication skills.Demonstrate positive attitude and readiness to work in a challenging and dynamic environment.Flexibility to multi task and work across Business Risk groups.Ability to credibly challenge and effectively communicate with various levels of management, including senior leaders and executives.

Desired Qualifications

Bachelor's degree or higher. Relevant certifications will be an advantage.Working knowledge of the Risk Management Framework (RMF) concepts and policies across risk types (regulatory, financial crimes, credit, operational, etc.) and quantify risk (financial impact to organization, risk exposure levels).Ability to identify risk and controls, to create remediation plans, remediation success criteria and control documentation.Experience in advanced excel / reporting (Tableau or BI/automation tools) will be an advantage.General knowledge of industry standards and best practices around Risk & control evaluations, Compliance and risk management processes.

Posting End Date: 

*Job posting may come down early due to volume of applicants.

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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.

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