Investment Operations Specialist
1 week ago
Full-time role on site Uptown Charlotte, NC 3 days a week
Job Description Summary
Institutional Investment Operations: Covers jobs responsible for providing support for institutional trades which includes client account onboarding, input and monitoring of cash payments, customer service, project support, funding operations, custodial operations, securities settlement services, structured loan operations, general ledger reconciliation as well as work to resolve confirmation and ISDA related issues.
Job Profile
- Senior Institutional Investment Operations Specialist
Job Families for Job Profiles
- Transactions & Processing
About this role:
One of our large financial services clients is seeking a Buy-In Specialist as part of Corporate and Investment Banking (CIB) Operations.
In this role, you will:
- Monitor regulatory buy-in processes and action accordingly (204, Reg-T, MSRB)
- Leverage buy-in processes to reduce fail obligations and firm risk (seg deficits)
- Monitor CNS obligations and liabilities and liaise with Securities Lending to remediate short positions and fails to receive
- Monitor Smart/TRACK system for buy-in notices from counterparties
- Liaise with counterparties to remediate open buy-in obligations
- Provide coverage for international buy-in obligations
- Maintain firm policies and procedures relative to street buy-in practices
- Manage client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, general ledger reconciliation, as well as, work to resolve confirmation and ISDA related issues
- Lead or participate in moderately complex initiatives and deliverables
- Contribute to large scale planning related to process, procedures and efficiencies with internal and industry related initiatives
- Identify and recommend opportunities for process improvement and risk control development
- Provide leadership to bring groups together to resolve multi-faceted complex issues
- Serve as a leader on projects along with internal and industry related initiatives
- Review and analyze complex functional and operational tasks that require in-depth evaluation
- Exercise independent judgment and resolution to guide the deliverable
- Resolve moderately complex issues
- Lead team to meet functional area projects, and process deliverables
- Leverage solid understanding of functions, policies, procedures and compliance requirements
- Mentor and assist analysts
- Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
Required Qualifications, US:
- 4+ years of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
- BS/BA degree in Finance or related field.
- 3+ years of experience in the securities industry with emphasis on buy-in and international trade settlement
- Detail oriented with effective organizational skills
- Proficiency in Microsoft Excel is required for analytical purposes (e.g., pivot tables, vlookups, sumifs, etc.).
- Basic knowledge of Microsoft PowerPoint is required to support the group’s presentations to senior management.
- Strong written and oral communication skills.
- Expert knowledge of DTCC Smart/TRACK system, OW, Settlement Web and FINRA
- Expert knowledge of buy-in rules for domestic markets including DTC, Fed and physical clearance
- Working knowledge of buy-in rules for international markets including Euroclear, Clearstream, Crest and various local markets
- Working knowledge of Broadridge systems including GLOSS, Impact and BPS
- Working knowledge of Prime Broker operations
Job Expectations:
- Monday - Friday – multiple shifts between 6:00am and 6:00pm
- This position offers a hybrid work schedule.
- Relocation assistance is not available for this position.
- Visa Sponsorship not available for this position
Corporate & Investment Banking (“CIB”) delivers a comprehensive suite of capital markets, banking, and financial products and services. As a trusted partner to our clients, we provide corporate and transactional banking; commercial real estate lending and servicing; investment banking; equity; and fixed income solutions including sales, trading, and research capabilities to corporate, commercial real estate, government, and institutional clients across the globe.
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation, and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements
-
Investment Operations Specialist
3 weeks ago
Charlotte, United States Underground Administration Full timeJob DescriptionJob DescriptionInvestment Operations Specialist110-126kHybrid in Charlotte, NCWe are seeking an Investment Operations Specialist with 4+ years of Investment Operations experience. The candidate needs to have expert knowledge of buy-in rules for domestic markets including DTCC, Fed and physical clearance. They will bring expert knowledge of...
-
Investment Operations Specialist
4 weeks ago
Charlotte, United States Underground Administration Full timeJob DescriptionJob DescriptionInvestment Operations Specialist110-126kHybrid in Charlotte, NCWe are seeking an Investment Operations Specialist with 4+ years of Investment Operations experience. The candidate needs to have expert knowledge of buy-in rules for domestic markets including DTCC, Fed and physical clearance. They will bring expert knowledge of...
-
Investment Operations Specialist
4 weeks ago
Charlotte, United States Underground Administration Full timeInvestment Operations Specialist 110-126k Hybrid in Charlotte, NC We are seeking an Investment Operations Specialist with 4+ years of Investment Operations experience. The candidate needs to have expert knowledge of buy-in rules for domestic markets including DTCC, Fed and physical clearance. They will bring expert knowledge of DTCC Smart/TRACK system, OW,...
-
Investment Operations Specialist
3 weeks ago
Charlotte, United States Underground Administration Full timeInvestment Operations Specialist 110-126k Hybrid in Charlotte, NC We are seeking an Investment Operations Specialist with 4+ years of Investment Operations experience. The candidate needs to have expert knowledge of buy-in rules for domestic markets including DTCC, Fed and physical clearance. They will bring expert knowledge of DTCC Smart/TRACK system, OW,...
-
Investment Operations Specialist
2 days ago
Charlotte, United States Apex Systems Full timeFull-time role on site Uptown Charlotte, NC 3 days a weekJob Description SummaryInstitutional Investment Operations: Covers jobs responsible for providing support for institutional trades which includes client account onboarding, input and monitoring of cash payments, customer service, project support, funding operations, custodial operations, securities...
-
Investment Operations Specialist
1 week ago
Charlotte, North Carolina, United States Underground Administration Full timeInvestment Operations Specialist110-126kHybrid in Charlotte, NCWe are seeking an Investment Operations Specialist with 4+ years of Investment Operations experience. The candidate needs to have expert knowledge of buy-in rules for domestic markets including DTCC, Fed and physical clearance. They will bring expert knowledge of DTCC Smart/TRACK system, OW,...
-
Charlotte, North Carolina, United States Kastel Staffing Full timeJob Description: Lead Institutional Investment Operations Specialist - Shared Services Tax Operations About This Role: Our client is seeking a Lead Institutional Investment Operations Specialist within our Tax Operations team as part of Corporate and Investment Banking Operations. The CIB Securities Tax Operations team leads global CIB first-line customer...
-
Charlotte, United States Kastel Staffing Full timeJob Description: Lead Institutional Investment Operations Specialist - Shared Services Tax Operations About This Role: Our client is seeking a Lead Institutional Investment Operations Specialist within our Tax Operations team as part of Corporate and Investment Banking Operations. The CIB Securities Tax Operations team leads global CIB first-line customer...
-
Charlotte, United States Kastel Staffing Full timeJob DescriptionJob DescriptionJob Description: Lead Institutional Investment Operations Specialist - Shared Services Tax OperationsAbout This Role:Our client is seeking a Lead Institutional Investment Operations Specialist within our Tax Operations team as part of Corporate and Investment Banking Operations. The CIB Securities Tax Operations team leads...
-
Charlotte, United States Eclaro Full timeWe are seeking a Lead Institutional Investment Operations Specialist within our Tax Operations team as part of Corporate and Investment Banking Operations. The Tax Operations team leads global CIB first-line customer tax activities. The lead specialist is expected to contribute to broader team focus areas including year-end reporting, withholding,...
-
Charlotte, United States Eclaro Full timeWe are seeking a Lead Institutional Investment Operations Specialist within our Tax Operations team as part of Corporate and Investment Banking Operations. The Tax Operations team leads global CIB first-line customer tax activities. The lead specialist is expected to contribute to broader team focus areas including year-end reporting, withholding,...
-
Senior Investment Sales Advisor
3 weeks ago
Charlotte, United States Sands Investment Group Full timeDescriptionSenior Investment Sales AdvisorSands Investment Group (SIG), one of the nation's fastest growing real estate firms as named by RE Forum, is seeking an experienced and highly motivated Senior Investment Sales Advisor to join our dynamic and collaborative company.SIG provides its Brokers with:Company culture of collaboration, teamwork, and giving...
-
Senior Investment Sales Advisor
4 weeks ago
Charlotte, United States Sands Investment Group Full timeDescriptionSenior Investment Sales AdvisorSands Investment Group (SIG), one of the nation's fastest growing real estate firms as named by RE Forum, is seeking an experienced and highly motivated Senior Investment Sales Advisor to join our dynamic and collaborative company.SIG provides its Brokers with:Company culture of collaboration, teamwork, and giving...
-
Senior Investment Sales Advisor
4 days ago
Charlotte, United States Sands Investment Group Full timeDescriptionSenior Investment Sales AdvisorSands Investment Group (SIG), one of the nation's fastest growing real estate firms as named by RE Forum, is seeking an experienced and highly motivated Senior Investment Sales Advisor to join our dynamic and collaborative company.SIG provides its Brokers with:Company culture of collaboration, teamwork, and giving...
-
Tax Operations Investment Lead
1 week ago
Charlotte, United States Apex Systems Full timeInstitutional Investment Tax Operations Lead Large Banking Client Direct Hire Location: Charlotte, NC or New York, NY (3 days onsite, 2 Remote) Top Requirements: 5+ years of experience in tax operations within a banking environment supporting capital markets. Tax documentation such as 1099s, W8s, and W9s. Cost basis reporting and tax reporting. Client...
-
Charlotte, United States Wells Fargo Full timeAbout this role: Wells Fargo is seeking a Lead Institutional Investment Operations Specialist to join our Asset Services team as part of Corporate and Investment (CIB) Operations. This team is responsible for managing and controlling high levels of risk and liability inherent in the Asset Servicing process. The group processes all aspects of the lifecycle...
-
Tax Operations Investment Lead
1 week ago
Charlotte, United States Apex Systems Full timeInstitutional Investment Tax Operations LeadLarge Banking ClientDirect HireLocation: Charlotte, NC or New York, NY (3 days onsite, 2 Remote)Top Requirements: 5+ years of experience in tax operations within a banking environment supporting capital markets.Tax documentation such as 1099s, W8s, and W9s.Cost basis reporting and tax reporting.Client trading...
-
Tax Operations Investment Lead
1 week ago
Charlotte, United States Apex Systems Full timeInstitutional Investment Tax Operations LeadLarge Banking ClientDirect HireLocation: Charlotte, NC or New York, NY (3 days onsite, 2 Remote)Top Requirements: 5+ years of experience in tax operations within a banking environment supporting capital markets.Tax documentation such as 1099s, W8s, and W9s.Cost basis reporting and tax reporting.Client trading...
-
Charlotte, United States GCB Services LLC Full timeJob DescriptionJob DescriptionJob Description:Client is seeking a Lead Institutional Investment Operations Specialist within our Tax Operations team as part of Corporate and Investment Banking Operations.The Client CIB Securities Tax Operations team leads global CIB first-line customer tax activities. The lead specialist is expected to contribute to broader...
-
Charlotte, North Carolina, United States Wells Fargo Full timeAt Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.About this role:Wells...
