CIB Control – Markets (Head of Equities Control)

Why Wells Fargo Are you looking for more? Find it here. At Wells Fargo, we're more than a financial services leader – we’re a global trailblazer committed to driving innovation, empowering communities, and helping our customers succeed. We believe that a meaningful career is much more than just a job – it’s about finding all of the elements to help you thrive, in one place. Living the Well Life means you’re supported in life, not just work. It means having robust benefits, competitive compensation, and programs designed to help you find work-life balance and well-being. You’ll be rewarded for investing in your community, celebrated for being your authentic self, and empowered to grow. And we’re recognized for it – Wells Fargo once again ranked in the top three – making us the #1 financial services employer – on the 2025 LinkedIn Top Companies list of best workplaces “to grow your career” in the U.S. Join us! About this role: The Head of Equities Business Control Management is responsible for leading the first line of defense control framework across the global Equities franchise . The role partners closely with senior business leaders and enterprise control functions to identify, assess, monitor, and mitigate operational, regulatory, supervisory, conduct, and reputational risks while enabling responsible business growth. The position provides governance, supervision, and control oversight across the Equities business, including Cash Equities, Equity Derivatives, Convertible Securities, Equity Financing, Prime Brokerage, Equity Research, Institutional Sales, and Sales Trading , among other products and business activities. The role is accountable for maintaining a strong control environment through effective governance, regulatory compliance, operational resilience, and continuous improvement. This role reports to the Head of CIB Markets BCM and works closely with Line of Business Supervisors, Business Controls, Business COO teams, and cross‑functional partners including Compliance, Risk, Operations, Technology, Audit, Testing and Legal. The primary objective is to enable the business to operate more efficiently and effectively by maintaining a sound supervisory framework, strong supervision coverage, and compliance with applicable regulatory requirements and industry standards. In this role: Primary responsibilities include the following: Must be able to thrive in a dynamic, fast-paced and high-pressure environment.  Provide senior Business Control Management leadership across the global Equities franchise, including Cash Equities, Equity Derivatives, Convertible Securities, Equity Financing, Prime Brokerage, Equity Research, Institutional Sales, and Sales Trading. Partner with Equities business and desk leadership to provide strategic guidance on governance, supervision, risk management, conduct, and control matters. Oversee governance supporting Equities products, new business initiatives, trading venues, technology implementations, strategic change initiatives, and significant business transformations. Lead the execution and continuous enhancement of the Equities Business Control Framework, including business-specific programs, processes, preventive controls, and detective controls. Identify, assess, monitor, and mitigate operational, regulatory, supervisory, conduct, and reputational risks across Equities businesses, products, and activities. Lead business-aligned supervisory programs, including supervisory procedures, monitoring, quality assurance, escalation, and issue management processes. Partner with Trade Surveillance to ensure appropriate Equities surveillance coverage, governance, and timely remediation of identified issues. Lead RCSA refresh, risk assessments, control evaluations, operational risk event reviews, root cause analysis, and sustainable remediation of control deficiencies. Support regulatory programs and inquiries impacting Equities, including SEC, FINRA, exchange rules,