Senior Institutional Investment Operations Specialist, Wells Fargo

Wells Fargo

Location:
United States, Charlotte

Category:
Finance

Contract Type:
Employment contract

Salary:

77000.00 - 121000.00 USD / Year

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Job Description:

Wells Fargo is seeking a Senior Institutional Investment Operations Specialist within our Approval to Transact team as a part of Corporate Investment Banking Operations. This resource will assume a leading role in implementation of new policies, regulations, technology, and onboarding initiatives - convert policies into procedures, processes and controls, working in partnership with compliance, legal, 1st and 2nd line control, COB, and other stakeholders - improve operational controls to ensure auditability, transparency, and consistency - benchmark internal requirements and processes against industry best practices - oversee governance for “approval to transact” violations - act as a central point of contact for all client onboarding related audits.

Job Responsibility:

Problem solve trade violations of certain Regulatory Programs by leveraging internal system and teams to discover fact patterns to determine remediation
Manage and perform Quality Assurance sample checks transaction and clients are compliant with regulation and internal policies/requirement/ procedures
Identify patterns in Regulatory Programs and amend the existing process as needed to ensure constant regulatory compliance and operation efficiency
Coordinate with groups to publish and highlight true violations and streamline the Track Do Not Trade List and coordinate within Ops to remove trade links
Steward A2T touchpoints with upstream/horizontal/downstream stakeholders such as legal, client onboarding, reference data, financial crimes, agreement management, regulatory reporting, technology, and new products
Foster a collaborative, success-oriented team environment where resources are empowered and accountable
Lead projects for new regulatory requirements, facilitating workflows, writing procedures, and providing team trainings
Identify and remediate (legacy or new) issues, gaps, risks, data quality and technology deficiencies
be resourceful and proactive with solutions
Assist with special projects and gathering data to assist with resolution of issues in areas that may normally be outside of daily responsibilities
Review and analyze functional operational tasks that require research, evaluation, and exercise independent judgment to guide the deliverable
Establish and maintain strong relationships with Legal, Credit, Compliance, Financial Crimes, Operations, Business, and other internal stakeholders

Requirements:

4+ years of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
4+ years of capital markets industry experience
4+ years of experience in one or a combination of the following: securitization accounting, collateral servicing, financial reporting for securitizations, Regulation AB compliance or daily reconciliations of cash for securitized assets
4+ years of experience in the following Regulatory Programs: OTC derivatives-based regulations (such as Dodd-Frank, Emir, Margin rules)
SEC/Finra/MSRB regulations with onboarding touchpoints (such as those governing, suitability, approvals, transparency, privacy, and disclosures)
Mifid and HKMA onboarding requirements
KYC (AML/BSA, Fincen, Travel rule)
Tax Documentation (Fatca, CRS)
QFC Resolution Stay and Recordkeeping
Transaction reporting and client money touchpoints with onboarding
Excellent verbal and writing skills. Needs to be proficient with PowerPoint presentation
Ability to articulate issues, risks, and proposed solutions to various levels of staff and management
Ability to effectively assess stakeholder, partner, or client needs while consulting, building solutions, and developing processes
Intermediate Microsoft Office skills - Microsoft Excel spreadsheets experience importing, exporting, and manipulating large data
Knowledge and understanding of roles of operations, compliance, client account set-up processes and procedures for corporations and public entities
Knowledge and understanding of derivative products: front to back flow of exchange traded derivatives
Ability to coordinate completion of multiple tasks and meet aggressive time frames
Ability to interact with all levels of an organization - Strong collaboration and partnering skills
Experience building partnerships and consulting effectively with leadership
Ability to lead projects/initiatives with high risk and complexity
Strong analytical skills with high attention to detail and accuracy
Effective organizational, multi-tasking, and prioritizing skills
Ability to work in a fast-paced deadline driven environment

What we offer:

Health benefits
401(k) Plan
Paid time off
Disability benefits
Life insurance, critical illness insurance, and accident insurance
Parental leave
Critical caregiving leave
Discounts and savings
Commuter benefits
Tuition reimbursement
Scholarships for dependent children
Adoption reimbursement

Additional Information:

Job Posted:
August 15, 2025

Expiration:
August 17, 2025

Employment Type:

Fulltime

Work Type:

On-site work

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Senior Institutional Investment Operations Specialist

Wells Fargo

Location:United States, Charlotte

Category:Finance

Contract Type:Employment contract