CAO Derivatives and Trading Resolution Lead

Job Description

This role will act as the primary driver of the implementation and ongoing management of Wells Fargo Securities conformance to the Derivatives and Trading Resolution matters.

  • Coordinate the governance structure for Derivatives and Trading across all of WF&C.
  • Manage the all Derivatives and Trading issues, ensuring all issues are properly researched, documented, risk rated, and escalated as needed
  • Coordinate any day to day production of data needed for Derivatives and Trading
  • Implementation and monitoring of new processes to assist the WFS LOB's in meeting all the requirements of the R&R rules and guidance with respect to Derivatives and Trading

Team members 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.

Required Qualifications

  • 7+ years of financial services industry experience
  • 5+ years of leadership experience

Other Desired Qualifications

  • Previous experience in the implementation of the Recovery and Resolution rules in a capital markets environment
  • The role requires expert knowledge of institutional broker/dealer trading practices for a vast array of products including but not limited to fixed income, equities, and derivatives.
  • Must have the ability to understand the broad set of capital markets businesses, market dynamics and issues impacting a complex set of business activities and personnel
  • Nature of capital markets activities requires team members to have in-depth knowledge of complex technology and operational platforms and processes, as well as an understanding of compliance/regulatory rules and accounting rules governing marketing and trading. Ability to communicate effectively and with various levels within the organization, both verbally and written.
  • Execution oriented, Professional demeanor, Self-starter behavior and able to recognize opportunities for improvement in the business and to act on those opportunities.


All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.

Relevant military experience is considered for veterans and transitioning service men and women.

Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.


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