Jobs · Business Development · New York

Vice President, Trade Surveillance Strategy & Operating Model

Wells Fargo · New York, NY · 1 mo ago
Business Development$120k–$196k/yrFull-time
We need to output HTML fragment with sections: About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule. Only include sections that have real specific content. We need to parse the posting. First, there is some intro fluff: "Why Wells Fargo Are you looking for more? Find it here. At Wells Fargo, we're more than a financial services leader..." This is boilerplate about company; we should remove cookie/navigation/legal/EEO etc. The instruction: Remove cookie/navigation/legal/EEO/equal-opportunity/scam-warning boilerplate, duplicated lines, and application instructions. So we should remove the generic Wells Fargo intro? It's not exactly EEO but it's company description. Might be considered boilerplate? The instruction says remove cookie/navigation/legal/EEO/equal-opportunity/scam-warning boilerplate, duplicated lines, and application instructions. The company description might be considered not required but not explicitly prohibited. However we need to preserve all substantive information. The substantive info is about the role. The company description may be considered not substantive for the job posting? Usually we keep "About This Role" etc. The intro "Why Wells Fargo..." is fluff; we can drop it. We need to output sections: - About the role: we have "About This Role" paragraph: "Wells Fargo is seeking a Vice President, Trade Surveillance to support key strategic risk initiatives within the Corporate & Investment Banking (CIB) businesses....". That is substantive. So we create

About the role

then

with that paragraph. - Responsibilities: we have "Key Responsibilities" with bullet points (multiple paragraphs). We need to extract each bullet as

  • . The bullet points are sentences starting with verbs. We'll list them. - Requirements: The posting has "Required Qualifications:" and "Desired Qualifications:" plus "Job Expectations:" (hybrid schedule, relocation assistance not available, visa sponsorship not available). Also "Posting Locations:" etc. We need to decide what goes into Requirements vs Qualifications vs Skills. The instruction: Use headings for section headings (e.g. About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule). So we need to map content. We have Required Qualifications: list of items (5+ years experience etc). Desired Qualifications: list of items. Also "Job Expectations:" includes hybrid work schedule, relocation assistance not available, visa sponsorship not available. That could go under Schedule (hybrid work schedule) and maybe other metadata. We also have "Pay Range Reflected is the base pay range offered for this position.... $120,000.00 - $196,000.00". That's Pay. Benefits: list of benefits. We need to avoid sections with filler like "commensurate with experience". Not present. We need to ensure we don't repeat job title as heading. We need to output only HTML fragment. Let's extract content. First, About the role paragraph: "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." We'll put that in

    . Responsibilities: Under "Key Responsibilities" there are several subheadings: "New Business Initiatives & Surveillance Coverage", "Trade Surveillance Governance & Oversight", "Quality Assurance & Surveillance Effectiveness", "Risk Management & Regulatory Support", "Governance Forums & Executive Reporting", "Stakeholder Engagement & Strategic Partnership". Each has multiple sentences. We need to turn each bullet into

  • . The content includes sentences separated by periods. We'll treat each sentence as a list item? Usually each bullet is a sentence. Let's extract: 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. We'll put all these as
  • under a single
      . Could also group but instruction says use
      • for any list of duties/requirements/benefits. So we can just flatten. Requirements: Might include "Required Qualifications:" and maybe "Job Expectations:"? But we have separate headings for Requirements, Qualifications, Skills. We need to decide mapping. Typically: Requirements = mandatory qualifications (Required Qualifications). Qualifications = desired qualifications? Skills = specific skills? But we have both required and desired qualifications. We could put Required Qualifications under Requirements, Desired Qualifications under Qualifications, and maybe skills under Skills (like communication, analytical, etc). However the desired qualifications list includes many skill-like items. Let's parse. 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: - This position offers a hybrid work schedule at one of the posted locations - Relocation assistance is not available for this position - Visa sponsorship is not available for this position 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. $120,000.00 - $196,000.00 Benefits: list. We need to decide sections: - Requirements: Could be Required Qualifications (mandatory). We'll output as
        • items. - Qualifications: Could be Desired Qualifications (preferred). We'll output as
          • . - Skills: Could be the skill-specific items from Desired Qualifications (communication, analytical, problem-solving, influencing, leadership). But those are already in Desired Qualifications. Might be redundant. Perhaps better to put Skills as a separate section containing the skill-based items: communication, analytical, problem-solving, influencing, leadership, etc. However the instruction says prefer a few substantive sections over many thin ones. So maybe we combine Desired Qualifications and Skills into one Qualifications section. But we have both Required and Desired; we could have Requirements (mandatory) and Qualifications (preferred). That seems reasonable. Then we might not need a separate Skills section. But the instruction list includes Skills as a possible heading. We can omit if not needed. We'll include Requirements and Qualifications. Pay: we have pay range. Schedule: we have hybrid work schedule from Job Expectations. Also we have relocation assistance not available, visa sponsorship not available - those are not schedule but could be omitted or placed in a short p under maybe "Job Expectations". But we have Schedule heading; we can put hybrid work schedule there. The other items (relocation assistance not available, visa sponsorship not available) could be omitted as they are not schedule; but we could include them in a short p under maybe "Job Expectations" but we don't have that heading. The instruction says include a section ONLY when the posting has real, specific content for it — never emit a heading followed by filler/placeholder text. So we can create a Schedule section with hybrid work schedule. The other items are not schedule; we could drop them or maybe include them in a short p under something else? There's no "Other" heading. Probably safe to drop them as they are not required to preserve? The instruction says preserve ALL substantive information; do NOT invent or summarize away detail. Dropping relocation assistance and visa sponsorship info might be losing substantive info. However we could incorporate them into a short p under maybe "Job Expectations" but we don't have that heading. Could we add a section "Job Expectations"? Not in the allowed headings list. The allowed headings are
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