Senior Lead Control Management Officer – Markets will report to the APAC Regional Business Control team within the International Control organization.  The Business Control team is responsible for identifying, measuring, assessing, controlling, mitigating, monitoring, and reporting current and emerging risk exposures associated with APAC activities.   

This position will be accountable for the front line control responsibilities related to 3 broker dealer legal entities in APAC (Hong Kong, Singapore and Japan).  This position will be responsible for design of and oversight of implement of control activities within the legal entities. Lead Control Management Officer – Markets will also work with designated lines of business (LOBs) and Enterprise Function (EF) control team members to design and implement the required risk mitigation and controls and help identify, escalate and proactively manage risks in these 3 broker dealer legal entities. This position will also partner with Independent Risk Management (IRM) and the Integrated Business Process Risk and Control team to ensure proper alignment with program requirements.

Specific Responsibilities:

Performs and manages Front Line Responsibilities for the 3 broker dealer legal entities in APAC as follows:

  • Identifies and documents risks, designs and implements control activities associated with business processes within the 3 broker dealer entities in Asia. Assists with control design and implementation related to Markets business in the region.

  • Responsible for analyzing any regulatory change impacts, and designing and implementing controls associated with the changes.

  • Executes Legal Entity Risk and Control Self-Assessments (RCSA) to satisfy Enterprise and Regulatory requirements. Remediates RCSA quality assurance and IRM credible challenge findings.

  • Responsible for ensuring controls related to governance and regulatory requirements of the legal entities are properly executed, which include but not limit to board governance, registration, outsourcing activities and various type of regulatory reporting and questionnaires.

  • Responsible for coordinating any audit or regulatory reviews.

  • Collaborates with LOB Business Control, International Compliance, International Operational Risk and COO related to program requirements.  

  • Serves as liaison between IRM and management of the legal entities, and provides support in the interpretation of policy, guidelines, and governance programs.

  • Develops and implements risk monitoring and risk reporting processes that align with company-wide risk programs. Monitors and reports on its risk concentration, current and emerging risk, and risk appetite. Aggregates the results of its monitoring efforts (as part of its self-assurance activities reporting routines), evaluates findings, reports on results and escalates where necessary.

Required Qualifications

  • 15+ years of experience in risk (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, business process management) or 15+ years financial services industry experience, of which 5+ years must include direct experience in risk.

Desired Experience:

  • Proven experience designing, developing, implementing and maintaining effective risk management programs, especially risk controls, within a large complex financial services company. 

  • Knowledge of Asia broker dealer as well as global banking regulatory/supervisory frameworks.

  • ·Experience with Business Control Assurance, either from 1LOD/2LOD testing or internal audit.

  • ·Experience with Risk and Control Self Assessments (RCSA)

  • Ability to manage and/or collaborate with geographically dispersed teams, matrixed relationships and interact with all levels of an organization 

  • Must be a proactive self-starter who values personal accountability and thrives under pressure in a fast-paced and demanding environment. 

  • Ability to analyze data and make connections across various data sets to make recommendations to management and project teams in a timely manner.

  • Ability to leverage creative thinking and problem solving skills to facilitate decisions and to ensure project outcomes result in expected business value.

  • Ability to exercise independent judgment to identify and resolve problems

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, or status as a protected veteran.

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.


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