Corporate & Investment Bank (CIB) delivers a comprehensive suite of banking, capital markets and advisory
solutions, including a full complement of sales, trading and research capabilities, to corporate, government and
institutional clients. We focus on our clients' overall financial needs, with consideration and respect for their total
relationship with Wells Fargo.
Reporting into the Markets APAC Chief Operating Officer ( COO ), this position will serve as the Markets APAC
Controls Execution Lead (Business Support Consultant) for the Markets business in the region. The role will
monitor, manage, report on and / or execute the controls run directly within the front line. The candidate can be expected
to be involved in such topics as front office team member on-boarding / off-boarding, new products and licenses,
regulatory reforms, audits, remediations, process and control mapping exercises etc..
This is a new role / function within the Markets APAC COO team and it has significant scope to grow as it will require a
grounds up development of the function and associated responsibilities. Success in this role centers on being proactive,
detail and quality focused and not settling for the status quo. The role will need to independently establish close
partnerships with all desks and logistics & control functions, both locally and abroad, in order to ensure an effective
include, but are not limited to :
Oversee, support and / or drive the implementation and running of controls within the Markets APAC business.
In partnership with
and the Second Line, establish controls, ensuring scope, requirements, priorities and practicalities are understood amongst all groups.
Proactively identify and lead control and process improvement opportunities across the desks / entities.
In collaboration with the other support partners, establish an effective key risk and performance indicator
management reporting framework for regular review with management.
Inventory and monitor the integrity of the controls run within the front line and ensure associated procedures are up to date and of a very high quality.
Periodically train sales, trading and structuring in the execution of new / legacy controls that need to be run
directly on the desks as well as issue periodic reminders on key topics.
Rationalize and reform the existing front office procedure manuals to ensure they are relevant and clear.
Deep dive and track issues / incidents / audit points on behalf of the business, challenge support partners in their activities and develop and execute credible and trackable action plans.
Support the Markets APAC COO team in the maintenance and enhancement of the business’s supervisory
Routinely support key meetings (board, executive, operating etc.) through the preparation of materials and
Market Skills and Certifications
University degree with a post graduate degree or other professional designation being advantageous
8+ years of direct working experience in a securities and derivatives operating environments
4+ years of direct working experience in designing, implementing and performing controls
Experience in running multiple concurrent tasks / roles (Subject-Matter-Expert, trainer, controller, reporter, project manager etc.)
Proactive and disciplined approach to managing periodic responsibilities
Intimate knowledge of FICC products and their execution channels
Proficient with Microsoft Excel, PowerPoint and SharePoint
Proficient system and process flow mapping skills, including experience with using Microsoft Visio
Detail orientated, proactive problem solver with very strong numerical, verbal and analytical skills
Mandarin / Japanese language skills a plus, but not required
Leadership Expectations at Wells Fargo
As a Team Member manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will :
Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them.
Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks.