Lead Institutional Investment Operations Specialist, Wells Fargo

Wells Fargo

Location:
United States, Charlotte

Category:
Finance

Contract Type:
Employment contract

Salary:

Not provided

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Job Description:

Corporate & Investment Banking (CIB) delivers a comprehensive suite of capital markets, banking, and financial products and services. This role is a lead position within Regulatory Due Diligence (RDD) to oversee critical regulatory functions, ensuring compliance, governance, and efficiency for client onboarding and lifecycle processes. The successful candidate will work cross-functionally to address operational deficiencies, drive regulatory adherence, and lead initiatives for operational excellence.

Job Responsibility:

Drive the regulatory pre-trade and post-trade functions for CIB and ensure the team is properly reviewing, dispositioning, and escalating all potential exceptions
Steward RDD touchpoints with upstream/horizontal/downstream stakeholders such as front office, legal, client onboarding, reference data, financial crimes, agreement management, regulatory reporting, technology, and new products
Identify and remediate (legacy or new) issues, gaps, risks, data quality and technology deficiencies
be resourceful and proactive with solutions
Identify patterns in Regulatory Programs and update the Compliance Stats to prevent more research/outreach
Identify and implement efficiencies as it relates to the regulatory onboarding process ensuring all requirements are met, but also that the process is as efficient as possible for a positive client experience
Lead 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 as well as support resolution of issues in and out of their responsibility
Act as key participant in large scale planning, gathering data to support resolution of issues in areas in and out of responsibility
Review and research complex multi-faceted operational and customer support on loan, securities and derivative product issues for institutional trade flow and provide oversight and add efficiencies to processes that require in-depth evaluation of multiple factors including intangibles or unprecedented factors
Demonstrate full knowledge and serve as leadership on projects along with internal and industry related industries
Make decisions in complex and multi-faceted loan, securities and derivative products requiring understanding of the function, policies, procedures and compliance requirements
Influence and lead broader work team to meet deliverables and drive new initiatives
Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
Lead projects and teams, or serve as a peer mentor

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
Extensive knowledge and understanding of securities and derivative products including working knowledge of compliance with FINRA 4210, MiFID, MSRB, SEC, FATCA withholding, AML regulation as it relates to securities processing, financial market, and reference data management
Experience presenting information to persuade, educate, and enhance understanding at all levels
Ability to develop and negotiate solutions to issues with partners or clients including escalations as needed
Experience with synthesizing data from multiple sources and presenting it in appropriate formats
Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic environment
Ability to lead and operate collaboratively, execution focused, and results oriented
Ability to articulate complex concepts in a clear manner
Ability to grasp complex business issues quickly, recommend solutions, and drive for resolutions
Ability to facilitate and lead meetings to reach conclusions, identify tasks, record actions, and achieve results
Overall cross-collaboration experience required to effectively engage both onshore and offshore counterparts
Intermediate Microsoft Office skills
Strong analytical skills with high attention to detail and accuracy
Excellent verbal, written, and interpersonal communication skills
Effective organizational, multi-tasking, and prioritizing skills
Ability to organize and manage multiple priorities

Additional Information:

Job Posted:
May 30, 2025

Expiration:
June 01, 2025

Employment Type:

Fulltime

Work Type:

On-site work

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Lead Institutional Investment Operations Specialist

Wells Fargo

Location:United States, Charlotte

Category:Finance

Contract Type:Employment contract