Governance and Oversight - CIB Ops

About this role:

Wells Fargo is seeking a Governance and Oversight - CIB Ops.

In this role, you will:

• Lead complex initiatives in operational and customer service for lifecycle support for institutional trade flow functions including client account onboarding, cash payments, customer service, funding or custodial operations, securities settlement services, structure loan operations, reconciliation as well as support resolution of issues in and out of their responsibility
• Act as key participant in large scale planning, gathering data to support resolution of issues in areas in and out of responsibility
• Review and research complex multi-faceted operational and customer support on loan, securities and derivative product issues for institutional trade flow and provide oversight and add efficiencies to processes that require in-depth evaluation of multiple factors including intangibles or unprecedented factors
• Demonstrate full knowledge and serve as leadership on projects along with internal and industry related industries
• Make decisions in complex and multi-faceted loan, securities and derivative products requiring understanding of the function, policies, procedures and compliance requirements
• Influence and lead broader work team to meet deliverables and drive new initiatives
• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
• Lead projects and teams, or serve as a peer mentor

Required Qualifications:

• 5+ years of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• Governance and Oversight (G&O) is responsible for managing risk and controls within the Corporate Investment Banking (CIB - Wholesale) group. This is achieved through three key pillars: Risk and Control Management, Process Reviews/Control Testing, and Compliance & Supervisory Mandates (aligned with FINRA, SEC, and CFTC requirements). The function supports business decision-making related to audits, regulations, and control assurance.
• This role requires experience in Capital Markets (Corporate Investment Banking - CIB). The individual will be responsible for executing Governance and Oversight (G&O) programs such as the Self-Inspection Program (SIP), compliance mandates, weekly WFS Operations metrics, monthly global risk governance, and Information Security controls across business units.
• Each G&O pillar is led by a global owner accountable for outcomes, standards, and prioritization. Regional teams support execution, ensuring global consistency, reducing silos across regions and service lines, improving accountability, and enabling scalable governance across CIB Operation.

• Design and execute initiatives to manage emerging and ongoing risks within a regulated environment
• Manage the global Book of Work, ensuring alignment across the US, UK, and India
• Partner with the G&O Global Lead to drive new and existing risk and control initiatives
• Engage with business stakeholders, Compliance, Business Control Management, and senior leadership to resolve complex issues
• Monitor governance across CIB Operations globally and support leadership with data-driven insights on risk, compliance, and controls
• Organize and facilitate walkthroughs (Process Risk Reviews) across CIB Operations teams to perform: Process gap analysis, Control testing, Metric mapping, Identification of Key Risk Indicators (KRIs), Ongoing monitoring
• Apply knowledge of key risk and control frameworks including RCSA, Incident Management, Issue Management, and Control Testing & Validation
• Collaborate with global and regional stakeholders on control testing, incident reporting, and risk reviews
• Build and maintain strong cross-functional and cross-regional partnerships through effective collaboration
• Work closely with stakeholders across the US, EMEA, and India
• Manage assignment, scheduling, tracking, and reporting of control activities and governance program.

Desired Qualifications:

• Bachelor's degree with coursework in Financial Markets or related fields
• 11-13 years of relevant experience
• Experience in Capital Markets Operations, Compliance Surveillance, or Controls within Corporate Investment Banking
• Strong knowledge of derivatives, foreign exchange (FX), equities, and fixed income products
• Hands-on experience in trade lifecycle processes, including static data, confirmations, settlements, reconciliations, and investigations
• Proven expertise in Operational Risk Management, including Incident Management, Issue Management, Control Testing, and RCSA
• Strong understanding of control testing methodologies, including scripting, execution, and reporting to senior leadership
• Familiarity with brokerage/broker-dealer operations
• Professional certifications in Operations Risk or Investment Banking (e.g., PRMIA ORM, CISI, FINRA Series 7, 22, 24, 99)
• Experience or training in business intelligence tools, workflow tools, data schemas, and data vocabularies.
  
  

Job Expectations:

• Excellent communication skills with proficiency in English
• Flexibility to work in global shifts (including night shifts

Posting End Date:

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.

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