Lead Control Management Officer

3 weeks ago

London, United Kingdom WELLS FARGO BANK Full time

**About this role**:
Wells Fargo is seeking a Lead Control Management Officer...

**In this role, you will**:

- Identify and document risks, controls and self-assurance activities associated with the lines of business and business processes and policy requirements
- Partner with the respective Support Function Controls teams (Finance, Ops, HR, Legal, etc.) and the three lines of defence to understand and assess the front-to-back risk & control environment as it impacts the business line.
- Continually assess non-financial operational risk threats and opportunity for control improvement in the lines of business through review and monitoring of critical front to back metrics, outputs of independent testing results and reports, Incidents and Events, and Risk & Control Self-Assessment and Control Evaluation) alongside changes in the business landscape and operating environment to ensure a holistic assessment of the risk profile.
- Proactively support the LOBs in the timely review and investigation of incidents and investigations, including root-cause and deep dive assessments. This includes review of external events and read-across incidents for further insight and opportunity for lessons learned
- Lead and organise annual RCSA refresh reviews across the LOBs, supporting functions and three lines of defence, supporting the evaluation of Inherent Risk, Control Environment and Residual Risk, and opportunity for control improvement
- Actively encourage and engage LOBs in the discipline to self-declare and raise for transparency operational issues and control weaknesses that could material harm the business to ensure effective oversight and resource allocation to manage risk back within appetite
- Facilitate and support the evaluation of potential front to back risks in new business initiatives, including assessment for the need of conditions and operating limits on product launch and on-going monitoring to ensure operational sustainability
- Directly manage and support the development and implementation of the LOB remediation book of work including the design of business-specific risk controls to address any control weaknesses or gaps, delivered through a structured plan including coordination and engagement with support functions and the lines of defence, to ensure robust and sustainable solutions and compliance with relevant policy and standards
- Attends and represents Business Control team in relevant LOB meetings and forums including the provision of risk and control reporting as appropriate for transparency, oversight and decisioning
- Drive collaboration with the EMEA central Control Programs management to lead and promote a strong risk culture to ensure effective communication and supportive partnerships
- Ensure assigned strategic plans includes LoBs material risk and associated activities consistent with the enterprise risk framework and risk appetite statements
- Support related Legal entity Risk & Control Self-Assessment and Control Evaluation activities consistent with the Group Control Executive's 5 pillars, Risk Management Framework, regulatory commitments and associated policies established by Independent Risk Management (IRM)
- Ensure LoBs and, where necessary, planned support function activities in region are consistent with the Enterprise Risk Framework, policies, and programs and risk appetite framework, and to ensure they are well-calibrated and integrated within the Line of Business.
- Engage with ICARA operational risk assessment to satisfy Enterprise and Regulatory requirements
- Collaborate with the Business, Business process "Subject Matter Experts" (SMEs), and business contacts across the second and third lines of defence and BCE's from other regions to deliver the designated LOBs control program requirements.

**Required Qualifications**:

- Direct experience and working knowledge of Lending businesses, operating model and regulatory environment
- Strong experience and knowledge in non-financial risk (includes compliance, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management) in financial services industry experience
- Proven experience implementing and maintaining effective risk management programs, especially risk controls, within a large complex financial services company
- Knowledge of global banking regulatory/supervisory frameworks
- 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 work with a high degree of autonomy
- Strong relationship management skills and organizational savvy Experience communicating in both written and verbal formats with executive-level leaders
- Ability to analyze data and make connections across various data sets to make recommendations to m

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