Vice President, Trade Surveillance Strategy & Operating Model

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About this role:

Wells Fargo is seeking a Vice President, Trade Surveillance to support key strategic risk initiatives within the Corporate & Investment Banking (CIB) businesses. The Corporate & Investment Banking Control organization serves as the front line of risk management and is responsible for identifying, assessing, and managing risks while ensuring effective controls, governance, and oversight across business activities.

The Vice President will sit within the Trade Surveillance Team and be responsible for the execution, governance, oversight, and continuous improvement of Trade Surveillance processes and controls. This role requires deep knowledge of Trade Surveillance, market conduct risk, governance frameworks, and regulatory requirements, along with strong stakeholder management, analytical, and leadership capabilities. The successful candidate will collaborate closely with business leaders, Compliance, Risk, Operations, Technology, Legal, Internal Risk Management (IRM), and Surveillance subject matter experts to ensure effective surveillance coverage and governance across the organization.

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 control