Institutional Investment Operations Specialist

24 hours ago


Charlotte, North Carolina, United States Wells Fargo Full time
About this role:

We are seeking a highly skilled Institutional Investment Operations Specialist to join our Client Onboarding Facilitation Team within Corporate Investment Banking Operations at Wells Fargo.

This role will involve leading complex initiatives in operational and customer service for lifecycle support for institutional trade flow functions, including client account onboarding, cash payments, customer service, funding or custodial operations, securities settlement services, structure loan operations, reconciliation, and support resolution of issues in and out of their responsibility.

The successful candidate will deliver high standards of client service while ensuring that all internal (Risk) and external (Compliance) standards and requirements are fully met.

This position requires a strong understanding of the regulatory implications of FATCA, Dodd Frank, EMIR, OFAC, Patriot Act, SEC, CFTC, and FINRA regulations.

The ideal candidate will have experience with front-to-back processes within a trading, audit, and audit plan management.

Key responsibilities will include:

  • Leading complex initiatives in operational and customer service for lifecycle support for institutional trade flow functions
  • Delivering high standards of client service while ensuring all internal and external standards and requirements are met
  • Providing guidance and support to team members and other line of businesses to complete requests within stated time frames and SLA
  • Researching and resolving issues as instructed, potentially presenting findings to the wider group and/or additional LOB
  • Participating in initiatives or projects, including cross-training, as well as development and maintenance of process and procedures documentation

This position offers a hybrid work schedule (minimum 3 days per week onsite) in the preferred location listed below.

Relocation assistance is not available for this position.

Visa Sponsorship is not available for this position.

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check.

Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification.

Successful candidates must also meet ongoing regulatory requirements, including additional screening and are required to report certain incidents.

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.



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