Institutional Investment Operations Specialist, Wells Fargo

Wells Fargo

Location:
United States, Charlotte

Category:
Finance

Contract Type:
Not provided

Salary:

Not provided

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Job Description:

Wells Fargo is seeking an Institutional Investment Operations Specialist within our Client Data and Onboarding Facilitation team as a part of Corporate Investment Banking Operations. The Client Facilitation team will liaise with external and internal customers to comply with all operational, compliance, regulatory and internal policies as part of the client onboarding process. This role is responsible for initiating and managing the client onboarding process, ensuring compliance with internal policies and external regulations (FATCA, Dodd-Frank, EMIR, OFAC, Patriot Act, SEC, CFTC, FINRA). This function will be responsible for shaping the vision for the future state process and technology requirements.

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
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

Requirements:

2+ years of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Solid understanding of regulatory implications for FATCA, Dodd Frank, EMIR, OFAC, Patriot Act, SEC, CFTC and FINRA regulations
Knowledge and understanding of regulatory compliance requirements surrounding broker dealer roles and FINRA Rules
Relevant experience within a Compliance, AML/KYC or Operational risk team is preferred
Understanding of BSA/AML/OFAC laws and regulations
Experience compiling metrics, customer profiles and maintaining SLA’s preferred
Working knowledge of Broadridge, Calypso, GMI, COBAM, CID, and Loan IQ or similar 3rd party vendors a plus
Advanced Microsoft Office skills
Excellent verbal, written, and interpersonal communication skills
Strong analytical skills with high attention to detail and accuracy
Ability to articulate complex concepts in a clear manner
Experience participating in multiple concurrent projects or large-scale individual projects
Ability to work in a fast-paced deadline driven environment
Well-organized with the ability to prioritize within a multi-project environment and proactively meet established deadlines
Ability to effectively capture system and process issues and communicate them as to address items in a prioritized manner for better resolution

Nice to have:

Solid understanding of regulatory implications for FATCA, Dodd Frank, EMIR, OFAC, Patriot Act, SEC, CFTC and FINRA regulations
Knowledge and understanding of regulatory compliance requirements surrounding broker dealer roles and FINRA Rules
Relevant experience within a Compliance, AML/KYC or Operational risk team is preferred
Understanding of BSA/AML/OFAC laws and regulations
Experience compiling metrics, customer profiles and maintaining SLA’s preferred
Working knowledge of Broadridge, Calypso, GMI, COBAM, CID, and Loan IQ or similar 3rd party vendors a plus
Advanced Microsoft Office skills
Excellent verbal, written, and interpersonal communication skills
Strong analytical skills with high attention to detail and accuracy
Ability to articulate complex concepts in a clear manner
Experience participating in multiple concurrent projects or large-scale individual projects
Ability to work in a fast-paced deadline driven environment
Well-organized with the ability to prioritize within a multi-project environment and proactively meet established deadlines
Ability to effectively capture system and process issues and communicate them as to address items in a prioritized manner for better resolution

Additional Information:

Job Posted:
August 17, 2025

Expiration:
August 23, 2025

Employment Type:

Fulltime

Work Type:

Hybrid work

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Institutional Investment Operations Specialist