Customer Care Obligation Senior Control Management Specialist

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About this role:

Wells Fargo is seeking a Senior Control Management Specialist (VP) to join our Corporate and Investment Banking (CIB) Trade Surveillance team, with a dedicated focus on Customer Care Obligation.  This critical role identifies, assesses, and mitigates risks associated with trading activities that fall outside of approved mandates, strategies, or controls. The successful candidate will have in-depth understanding of Corporate & Investment Banking’s Businesses, products, key financial/non-financial risks and controls, excellent communication skills, attention to detail, ability to multi-task, and a self-driven work approach. 

In this role, you will:

• Lead design, implementation, and enhancement of controls to ensure Equity  best execution standards and Customer Care obligation requirements.

• Analyze trade lifecycle events and execution quality to identify gaps, anomalies, or areas for improvement in client outcomes.

• Collaborate with front office, compliance, risk, and technology teams to maintain comprehensive coverage of best execution, fair pricing, mark-up/down controls across Equities.

• Develop and maintain metrics and reporting frameworks to monitor execution quality, client satisfaction, and escalate issues where needed.

• Investigate execution quality alerts, ensuring timely resolution and thorough documentation.

• Assist in defining requirements and analyzing data to build evidence-based control activities supporting best execution.

• Perform data analysis across centralized and decentralized sources to enable automation and improve transparency.

• Develop prototypes and refine controls in partnership with support functions to enhance execution monitoring.

• Execute control activities in business-as-usual processes and escalate identified exceptions such as poor execution or deviations from client mandates.

• Support end-to-end control design, data analysis, testing, and implementation for best execution and client care initiatives.

• Enable ongoing monitoring and develop sustainable mechanisms to ensure adherence to best execution standards.

• Engage with business heads, control teams, and leadership to socialize and calibrate controls for equity execution.

• Partner with Compliance to execute policies, procedures, and governance routines related to best execution and client care.

• Generate ad-hoc reports and materials for senior leadership on control outcomes, KRIs, and KPIs tied to execution quality.

• Stay informed on industry trends, regulatory developments, and emerging risks related to equity execution and client service.

Required Qualifications, US:

• 4+ 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:

• 3 + years of experience in Capital Markets business environment, including products and services, data flows, trade lifecycle(s) and relevant risks

• 3+ years of experience identifying, assessing, evaluating, documenting, and reporting effective controls, control procedures, and control gaps, to mitigate and support operational and compliance risk

• Advanced data analytics tooling experience (e.g., SQL, Python, R and/or similar) preferred

• Experience partnering with technology and product owners throughout technology development lifecycle

• Ability to support ongoing tracking against project plans, and execute on the different phases of the delivery lifecycle

• Advanced Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills

• Ability to identify, assess and confidently raise risks and issues, escalate early, and independently engage in constructive credible challenge

• Ability to take on a high level of responsibility, initiative, and accountability with minimal supervision in a structured environment

• Experience communicating in both written and verbal formats with senior executive-level leaders

• Ability to influence, partner, and negotiate solutions to issues with senior business leaders to gain commitment to accomplish business goals

Job Expectations:

• This position offers a hybrid work schedule

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.

$77,000.00 - $121,000.00

Posting End Date:

8 Jan 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.

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.