Vice President, Trade Surveillance Strategy & Operating Model

Why Wells Fargo

About this role

Key Responsibilities

• New Business Initiatives & Surveillance Coverage
• Coordinate Trade Surveillance reviews for New Business Initiatives (NBI), ensuring new products, trading activities, and business ventures receive appropriate surveillance assessments prior to implementation.
• Manage surveillance reviews associated with venue onboarding activities, including evaluation of surveillance coverage requirements, control design, governance approvals, and implementation readiness.
• Partner with Technology, Compliance, and business stakeholders to identify surveillance coverage gaps and ensure required enhancements are implemented through established governance processes.
• Trade Surveillance Governance & Oversight
• Lead governance processes, procedures, and oversight activities across all Trade Surveillance-related functions.
• Draft, maintain, and enhance Trade Surveillance policies, procedures, and governance frameworks to ensure alignment with internal standards, legal requirements, and regulatory expectations.
• Regularly review and update surveillance governance frameworks to reflect evolving market practices, business activities, and regulatory developments.
• Promote a culture of accountability, transparency, and effective risk management across surveillance activities.
• Quality Assurance & Surveillance Effectiveness
• Lead Quality Assurance reviews of Trade Surveillance alert dispositions by partnering with IRM and Surveillance SMEs to evaluate review consistency and identify potential control weaknesses or misconduct risks.
• Assess surveillance effectiveness through trend analysis and identification of opportunities to improve surveillance coverage, processes, and outcomes.
• Develop and monitor key performance indicators (KPIs) and metrics to measure surveillance and governance effectiveness.
• Risk Management & Regulatory Support
• Identify, assess, and mitigate governance-related risks within the Trade Surveillance operating model.
• Support high-priority regulatory initiatives and ensure surveillance programs remain aligned with applicable regulations and supervisory expectations.
• Conduct ongoing regulatory research and advise stakeholders on the implications of regulatory changes affecting Trade Surveillance, market conduct, and market abuse controls.
• Support regulatory examinations, inquiries, and responses through preparation of analysis, documentation, and management reporting.
• Governance Forums & Executive Reporting
• Represent Trade Surveillance in Security-Based Swap Dealer (SBSD) governance forums and other senior governance committees.
• Develop surveillance metrics, prepare executive-level reporting materials, present surveillance results, and escalate emerging risks, surveillance issues, and coverage considerations.
• Prepare comprehensive management information, governance reporting, and presentations for senior leadership, risk committees, and regulatory stakeholders.
• Maintain accurate documentation of governance activities, decisions, surveillance reviews, and risk-related actions.
• Stakeholder Engagement & Strategic Partnership
• Collaborate with Compliance, Legal, Audit, Risk, Operations, Technology, and business leadership to ensure effective surveillance governance and alignment of risk management practices.
• Serve as a trusted advisor on Trade Surveillance strategy, governance, and risk management initiatives.
• Influence stakeholders across multiple levels of the organization to drive timely remediation, process improvements, and regulatory compliance.
• Participate in senior management discussions regarding market conduct risks, surveillance program effectiveness, and control enhancements.
• 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
• Compliance, Trade Surveillance, or related experience
• Desired Qualifications:
• Direct experience with Trade Surveillance within First Line or Second Line Risk functions.
• Knowledge of market conduct risk, market abuse controls, surveillance methodologies, and supervisory review processes.
• Experience supporting governance committees and escalation processes on surveillance-related matters.
• Prior experience within Market Oversight, regulatory agencies, or government supervisory organizations.
• Experience driving process improvement initiatives and automation of control and surveillance processes.
• Strong understanding of Corporate & Investment Banking products, trading activities, customer interactions, and associated risk exposures.
• Working knowledge of Risk Management Framework (RMF) concepts and policies across multiple risk disciplines, including regulatory, operational, financial crimes, and conduct risk.
• Exceptional verbal, written, and interpersonal communication skills, with the ability to clearly communicate complex concepts to senior leadership.
• Strong analytical, problem-solving, and critical thinking skills with the ability to independently identify risks and develop practical solutions.
• Proven ability to influence stakeholders, drive execution, resolve conflicts, and deliver measurable outcomes in a highly regulated environment.
• Demonstrated leadership, integrity, accountability, and commitment to excellence.

Job Expectations

Posting Locations

• 150 E 42nd St - New York, NY 10017

Pay Range

• Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.
• 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

We Value Equal Opportunity

Applicants with Disabilities

Drug and Alcohol Policy

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.