Lead Control Management Officer - Equities Lead Trade Surveillance

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About this role:
Wells Fargo is seeking a Lead Control Management Officer within Equities Trade Surveillance. The Corporate & Investment Banking (CIB) 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 Control Executive for CIB has a business-aligned Control team that will closely partner with Operations Control for all aspects of the CIB business, including Securities Operations that support Wells Fargo Securities (WFS LLC) and regional broker dealers, derivative operations that support its Swap Dealer (WFBNA - Wells Fargo Bank, National Association) including regional branches, and its Global Payments Services, Mortgage Servicing, Fraud & Claims Management (FCM), and Prime Services businesses. The Trade Surveillance Equities Subject Matter Expert (SME) will report to the Head of Trade Surveillance SMEs and will be responsible for the design, implementation, and execution of trade surveillance controls in Rates, while escalating potential issues to Senior Management. Crucial to this role is extensive product knowledge, and potentially ex-trading experience, as well as experience in trade surveillance scenario design, implementation, parameter setting, alert dispositioning and support with investigations.
In this role, you will

• Work closely with Risk Owners, Risk Stewards, CIB Surveillance Technology and Surveillance Product Management to enhance and build effective surveillance controls
• Provide subject matter expertise with comprehensive knowledge of business and functional area
• Review daily alerts related to Equities Trade Surveillance
• Manage key relationships with Business Heads, Desk Heads, Compliance, Chief Operating Office(COO) and CIB Control for Equities
• Represent Trade Surveillance on various governance forums
• Actively participate in risk assessments and parameters setting activities
• Mentor an offshore team supporting the first pass review of trade surveillance alerts

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:

• Experience operating rule-based and risk-based Surveillance tools
• Experience with Trading
• Excellent communication skills (verbal, written and interpersonal); ability to concisely articulate complex concepts in a clear manner
• Strong analytical skills with high attention to detail and accuracy
• Professionalism, adaptability, and strong collaboration skills
• Ability to translate technical language into plain business language, and to translate business requirements into technology initiatives
• Demonstrated capability to confidently raise issues, escalate early, and engage in constructive credible challenge independently

Job Expectations:

• This position offers a hybrid work schedule

Relocation assistance is not available for this position:
Location:
550 S. Tryon St. Charlotte, NC
This position is not eligible for Visa Sponsorship
Job posting may come down early due to volume of applicants
Pay Range
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

Posting End Date:
18 Nov 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.
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