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Senior Institutional Investment Operations Representative

https://www.wellsfargo.com/ Logo

Wells Fargo

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Location:
India , Bengaluru

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Category:
Banking

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Contract Type:
Employment contract

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Salary:

Not provided
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Job Description:

Team Member will be part of the Regulatory Due Diligence team and should at least deep understanding of US regulations (such as DFA,FINRA,MIFID,IBOR,QFC..etc.). Team member will be responsible for analyzing and maintaining client documentation, Regulatory reporting data as part of the Client On-Boarding process. Also will drive initiatives and provide solutions that will have an impact on client experience and risk mitigation.

Job Responsibility:

  • Act as a control group for sales and trading desk
  • Coordinate day-to-day activities for pre-trade and post-trade regulatory checks
  • Proficient on all regulatory, legal, and operational rules/policies impacting client data
  • Strong Knowledge of the banking regulatory reporting rules and US regulations FINRA,QFC,Dodd Frank Act, SBS, SEC15a6, MSRB,MIFID II etc
  • Independently research and analyze regulatory reporting requirements and other financial documents and ensure Regulatory reporting requirements are clearly communicated to the business units publish source data reports
  • Identifies and highlight/escalate potential risk arising within process
  • Excellent Interpersonal skills – ability to build relationships
  • Oversee BAU and identify process enhancement opportunities
  • Support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture
  • Work with other Client Data & Onboarding teams to effectively manage and process Pre and Post trade regulatory requests
  • Develop strong working relationships with stake holders Sales,Complaince, other onboarding teams
  • Ensure and Adhere to the Regulatory Reporting standards, policies and procedures
  • Become a risk manager by ensuring data integrity and challenging where required
  • Provide reporting to senior leadership and produce insightful analyses of the business upon request for management

Requirements:

  • Bachelor's degree in Accounting, Finance, or a business-related field is strongly preferred
  • Previous experience in Operations and/or Financial Services industry - Relevant work experience of 2-4 years in one or a combination of the following: back office, strategic planning in regulatory oversight, AML/KYC, US tax regime & compliance and client onboarding within and International Corporate Investment Bank
  • Excellent communication skills both written and verbal
  • Knowledge and understanding of Excel, PowerPoint, Word and adaptability to other software products
  • Ability to research, compile, and perform complex analysis on critical operational data
  • Be highly collaborative and team-oriented
  • Demonstrate strong analytical and interpersonal skills
  • Ability to work with impacted areas to understand complex problems
  • Ability to work in a fast-paced, team oriented environment
  • Strong multi-tasking abilities in a high performance, high demand environment
  • Ability to think strategically, drive consensus and influence decision making

Nice to have:

  • Strong Knowledge of the banking regulatory reporting rules and regulations including FINRA 4210, QFC,DFA,MIFID II and other key regulatory policies and rules
  • Extensive knowledge and understanding of all capital markets products, industry trends, regulatory changes, and industry-wide best practices
  • Ability to independently research and analyze regulatory reporting requirements and other financial documents
  • Extensive knowledge and experience supporting Fixed Income and Equity Sales & Trading Lines of Business
  • Advanced knowledge of client on-boarding life-cycle
  • Strong Analytic ability, with high attention to detail, accuracy and strong problem solving skills
  • Ability to communicate (written/verbal) effectively at all organizational levels
  • Ability to plan and organize workload within tight deadlines, meeting day-to-day objectives as well as longer term strategic goals

Additional Information:

Job Posted:
May 04, 2026

Employment Type:
Fulltime
Work Type:
On-site work
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