Lead Control Management Officer - VP Trade Surveillance Governance
2 days ago• Charlotte, NC
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About this role:
Wells Fargo is seeking a Vice President to assist in key strategic risk initiatives within the CIB (Corporate and Investment Banking) businesses. Learn more about our career areas and lines of business at wellsfargojobs.com.
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The Corporate & Investment Banking Control organization serves as the front line of risk management and is accountable for assessing and effectively managing all associated risks for their groups. This team works to ensure internal controls, processes, and procedures are adequate and effective, and executive management understands the risks, exposures, and trends that impact the business. The group also collaborates on projects and initiatives by providing support and awareness of risks and mitigating control solutions.
The Vice President of Trade Surveillance Governance sits within the Trade Surveillance Team and will be responsible for overseeing processes and procedures that span across all Trade Surveillance related activities. This position requires knowledge of Surveillance processes as well as strategic thinking and stakeholder management.
Coordination and collaboration is crucial to this role. The successful candidate will work with Business Heads as well as with COOs, Business Control Managers and partner functions (e.g., Compliance, Risk, Operations, Technology, and Legal).
In this role, you will:
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
- Assisting in identifying and mitigating governance-related risks as defined within our Team Procedures and Operating Model.
- Supporting High Priority Regulatory Initiatives.
- Analyzing Trade Surveillance data to identify trends or areas for improvement.
- Developing key performance indicators (KPIs) for governance effectiveness.
- 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.
- 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.
- Promoting a culture of accountability and transparency.
- Keeping up to date with changes in laws and regulations that impact Trade Surveillance.
- Advising on implications of regulatory changes.
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
- Demonstrated direct or indirect experience with Trade Surveillance in either First Line or Second Line roles.
- Experience with Market Conduct, Market abuse controls and Supervisory review processes.
- Experience in leading governance and senior risk committee for potential disciplinary or conduct issues.
- Prior experience at Market Oversight including any regulatory or government agencies.
- Prior experience in process improvement, automation of control processes.
- Understanding of Corporate and Investment Banking business operations, processes, products and customer interactions and associated risk manifestation.
- Working knowledge of the Risk Management Framework (RMF) concepts and policies across risk types (regulatory, financial crimes, credit, operational, etc.). Excellent communication skills (verbal, written and interpersonal); ability to concisely articulate complex concepts in a clear manner. Professionalism, adaptability and strong collaboration skills.
- Ability to proactively resolve conflict and maintain objectivity.
- Demonstrated capacity to proactively and independently analyze and solve problems and address risks.
Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.
$100,000.00 - $196,000.00
Benefits
Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.
- Health benefits
- 401(k) Plan
- Paid time off
- Disability benefits
- Life insurance, critical illness insurance, and accident insurance
- Parental leave
- Critical caregiving leave
- Discounts and savings
- Commuter benefits
- Tuition reimbursement
- Scholarships for dependent children
- Adoption reimbursement
25 Dec 2025
* 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.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
Wells Fargo Recruitment and Hiring Requirements:
a. Third-Party recordings are prohibited unless authorized by Wells Fargo.
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.
Client-provided location(s): Charlotte, NC
Job ID: WellsFargo-R-508446-2
Employment Type: FULL_TIME
Posted: 2025-12-06T18:08:13
Perks and Benefits
Health and Wellness
- Health Insurance
- Health Reimbursement Account
- Dental Insurance
- Vision Insurance
- Life Insurance
- FSA
- HSA
- Mental Health Benefits
- Short-Term Disability
- Long-Term Disability
Parental Benefits
- Adoption Assistance Program
- Family Support Resources
- Birth Parent or Maternity Leave
- Non-Birth Parent or Paternity Leave
- Fertility Benefits
- Return-to-Work Program
Work Flexibility
- Hybrid Work Opportunities
Office Life and Perks
- Commuter Benefits Program
Vacation and Time Off
- Paid Vacation
- Paid Holidays
- Personal/Sick Days
- Volunteer Time Off
Financial and Retirement
- 401(K) With Company Matching
- Performance Bonus
- Stock Purchase Program
Professional Development
- Tuition Reimbursement
- Access to Online Courses
- Internship Program
- Associate or Rotational Training Program
- Promote From Within
- Mentor Program
Diversity and Inclusion
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