Control Management Specialist-Trade surveillance

About this role:
Wells Fargo is seeking a Control Management Specialist
In this role, you will:

• Participate in mitigating current and emerging risk exposures associated with the activities and operations of the assigned business group, and identify opportunity for process improvements within the scope of defined business control responsibilities
• Review and analyze basic business challenges that require research, evaluation, and selection of alternatives
• Develop and implement risk monitoring, risk reporting processes, and controls while evaluating and reporting results where necessary
• Present recommendations for resolving complex situations and exercise independent judgment while developing Control Management functional area expertise
• Provide support in the interpretation of policy, guidelines, and governance programs as front line liaison to Independent Risk Management area
• Collaborate and consult with Control Management team and key stakeholders, including internal customers

Required Qualifications:

• 2+ years of Risk Management or Financial Services industry experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Bachelor's/master's degree or any professional degree (CA/CS/CFA etc.) is required.
• Supervisory Control/Trade Surveillance/Transaction monitoring/ Information Barrier/Control room experience, or equivalent including direct experience reviewing alerts in Trade/Information Barrier/Control room in a Surveillance role.
• Extensive experience in the review of trade surveillance/transaction monitoring alerts across market conduct / market abuse behaviors as well as rules-based surveillance using surveillance applications (Actimize, OneTick, Protegent Market Abuse, Protegent Trading Compliance and Trading Hub)

Job Expectations:
Surveillance Operations & Alert Disposition

• Execute and review trade surveillance alerts across multiple scenarios and asset classes.
• Perform scenario disposition, case analysis, and prepare supporting documentation with accuracy and clarity.
• Conduct deep-dive investigations where required, using trade data, order books, market movements, and trader behavior analysis.
• Ensure proper escalation of potential market abuse or policy breaches to relevant stakeholders.
• Maintain high standards of quality, timeliness, and regulatory compliance while disposing alerts.
• Identify false positives, provide feedback to SMEs, and recommend scenario tuning opportunities

Stakeholder Management

• Collaborate with onshore compliance teams, SMEs, and technology partners.
• Participate in monthly/weekly governance meetings and present updates on key metrics.
• Provide transparency on team performance, risk themes, and emerging issues.

Risk, Controls & Governance

• Ensure adherence to all surveillance procedures, SOPs, and audit controls.
• Support periodic testing and review of surveillance scenarios.
• Maintain evidence and documentation in accordance with regulatory expectations.
• Assist in regulatory inquiries, audits, and internal reviews when required.

Process Improvement & Strategic Contribution

• Drive automation, standardization, and efficiency improvements within BAU.
• Contribute to knowledge-sharing sessions, cross-training efforts, and scenario enhancement projects.
• Support implementation of new modules, alerts, or coverage expansions

Posting End Date:
22 Mar 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.
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.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
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Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
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b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.