About this role:

Wells Fargo is seeking a Front-Line Trade Surveillance Senior Product Lead within CIB to Manage the build and rollout for transaction monitoring controls; including coordination of global rollout, implementation, calibration and testing of Front Office market abuse/manipulation/control tools to detect and prevent market misconduct.

This role will report into the Product Manager of Transaction Monitoring. In addition, the remit will include oversight of staff involved in development of market integrity monitoring activities as part of CIB’s Front Line Supervisory Framework.

In this role, you will:

• Perform Global delivery of strategic FLOD surveillance, monitoring platform and tools

• Establish a robust surveillance framework through implementation of a trade surveillance platform, system controls and escalation framework

• Review market making and Automated Client execution activity, to assess monitoring requirements

• Manage relationships with front office, Implementation team and technology team and data deliverables for Transaction monitoring

• Provide Market Integrity training to BAU monitoring teams and business Supervisors (e.g. Sales and Trading Desk heads)

• Establish and build robust Quality Assurance framework for front line monitoring activities

• Perform in-depth pattern analysis of specific high-risk alerts

• Perform calibration and back testing of surveillance models and scenarios

• Define requirements and Design next generation surveillance models that can be used by first line

• Create Procedures and System Controls to ensure sustainable controls are documented in line with Wells Fargo’s risk Management Framework

• Manage Model Calibration process to reduce false positives and calibration process documentation and evidence

• Engage with SMEs and managers at all levels and across multiple lines of business/support functions and serve as an experienced advisor to leadership

• Lead team meetings or steering committees to facilitate decision making and ensure implementation of recommendations and plans including long term, sustainable, highly complex and unique business challenges

• Provide vision, direction, and expertise to senior leadership for implementing innovative and significant business solutions that are scalable, global and cross organizational

Required Qualifications :

• Experience in Securities Product Management, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

• An SME with strong background to CIB Markets, excellent technical skills and good track record of delivering platform/application delivery

• Significant experience delivering Trading platforms and controls for large investment banks

• In depth experience in Regulatory Change including, but not limited to, Trade Surveillance & Business controls for MAR (Market Abuse Regulation) and MiFID (Markets in Financial Instruments Directive)

Desired Qualifications:

• Significant experience with trade surveillance monitoring systems, model development, design and calibration including deep understanding of model design and calibration processes

• Experience of working on trading floor in a trading, business manager or e-Trading analyst capacity

• Advanced experience in FLOD IT Project and Product Management of large-scale global projects

• Experience in Algo trading or equivalent experience building Algo transaction monitoring models

• Advanced quantitative and data analytical skills, with experience in analytics and database tools (e.g. SQL, R, Python)

• Experience managing geographically diverse teams including both multiple domestic and off-shore locations

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

Posting End Date:

25 Jan 2025

*Job posting may come down early due to volume of applicants.

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

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 US: 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.

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 (https://www.wellsfargojobs.com/en/diversity/disability-inclusion/) .

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy (https://www.wellsfargojobs.com/en/wells-fargo-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.

Req Number: R-428108