Institutional Investment Operations Associate, Wells Fargo

Wells Fargo

Location:
United States, Charlotte

Category:
Finance

Contract Type:
Employment contract

Salary:

Not provided

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Job Description:

Wells Fargo is seeking an Institutional Investment Operations Associate within our Client Data and Onboarding team as part of our Corporate Investment Banking (CIB) Operations division. The role involves delivering high standards of client service while ensuring all internal risk and external compliance standards and requirements are fully met.

Job Responsibility:

Deliver high standards of client service while ensuring all internal risk and external compliance standards and requirements are fully met
Gather evidence of customer profile via documentary or non-documentary means utilizing both in-house and external sources
Initiate client onboarding processes by entering data into client onboarding system and sharing documents with internal teams such as Regulatory Due Diligence, Client Due Diligence, Client Maintenance, Legal and Compliance
Track progress and provide status of onboarding requests to the request initiator
Understand, follow and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the product/business supported
Maintain all WF internal control standards, implement new controls and address any internal or external audit points raised
Understand operations risk scenarios associated with the role and adhere to all policies

Requirements:

6+ months of Institutional Investment Operations experience, or equivalent demonstrated through work experience, training, military experience, or education
Solid understanding of regulatory implications for FATCA, Dodd Frank, EMIR, OFAC, Patriot Act, SEC, CFTC and FINRA regulations
Account management experience
Brokerage operations experience
BSA/AML experience
Sound customer service background
Data analysis experience
Understanding of BSA/AML/OFAC laws and regulations
Financial industry experience
Operations experience
Process definition, documentation, design and improvement experience
Risk and regulatory compliance background

Nice to have:

Solid understanding of regulatory implications for FATCA, Dodd Frank, EMIR, OFAC, Patriot Act, SEC, CFTC and FINRA regulations
Account management experience
Brokerage operations experience
BSA/AML experience
Sound customer service background
Data analysis experience
Understanding of BSA/AML/OFAC laws and regulations
Financial industry experience
Operations experience
Process definition, documentation, design and improvement experience
Risk and regulatory compliance background

Additional Information:

Job Posted:
August 23, 2025

Expiration:
August 29, 2025

Employment Type:

Fulltime

Work Type:

Hybrid work

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Institutional Investment Operations Associate