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Institutional Investment Operations Manager - Customer Protection and Asset Transfers

https://www.wellsfargo.com/ Logo

Wells Fargo

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Location:
United States , Charlotte

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Category:
IT - Administration

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Contract Type:
Not provided

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Salary:

Not provided
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Job Description:

Wells Fargo is seeking an Institutional Investment Operations Manager to oversee Client Protection and Asset Transfers teams as a part of Corporate Investment Banking Operations. Learn more about the career areas and business divisions at wellsfargojobs.com.

Job Responsibility:

  • Manage and develop team of individual contributors working on complex issues
  • Oversee daily controls related to client protection and the firm's adherence to possession or control obligations under SEA rule 15C3-3
  • Ensure proper segregation of client assets and 17a-13 rule adherence
  • Manage asset transfer team and processing, partnering with Prime and Safekeeping business to meet client demand
  • Identify and recommend opportunities for process improvement and risk control development
  • Collaborate with all business partners and various departments, create efficiencies and mitigate risk for team and organization
  • Resolve complex issues and processes within CIB Operations
  • Make decisions and resolve issues regarding resources, objectives and operations of functional area and team to meet business objectives
  • Interpret and develop policies and procedures for functions with low to moderate complexity
  • Collaborate and influence all levels of professionals including more experienced managers
  • Lead team to achieve objectives and strategy
  • Manage allocation of people and financial resources for Institutional Investment Operations group
  • Mentor and guide talent development of direct reports and assist in hiring talent

Requirements:

  • 5+ years of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
  • 2+ years of Leadership experience

Nice to have:

  • FINRA series 99/7 or must be willing to obtain within 90 days
  • Knowledge of SEA rule 15C3-3 and customer protection reconciliations performed by Broker Dealers
  • Working knowledge of Prime Brokerage, Stock Loan and Tri-Party operations
  • Experience processing in Broadridge applications such as BPS, Gloss and Impact
  • Strong knowledge and understanding of the capital markets operations business and/or accounting background with knowledge of reconciliation

Additional Information:

Job Posted:
May 04, 2026

Expiration:
May 07, 2026

Employment Type:
Fulltime
Work Type:
Hybrid work
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