Lead Institutional Investment Operations Specialist - Regulatory Due Diligence

About this role:

Corporate & Investment Banking (“CIB”) delivers a comprehensive suite of capital markets, banking, and financial products and services. As a trusted partner to our clients, we provide corporate and transactional banking; commercial real estate lending and servicing; investment banking; equity; and fixed income solutions including sales, trading, and research capabilities to corporate, commercial real estate, government, and institutional clients across the globe.

Wells Fargo is seeking a Lead Institutional Investment Operations Specialist to help lead the CIB Operations Regulatory Due Diligence (RDD) team. The RDD team in CIB Operations Client Data & Onboarding is responsible for the ensuring front to back governance of the client onboarding and lifecycle process. This includes regulatory adherence for both pre-trade and post-trade documentation. The Operations Client Data & Onboarding team is a cross-functional group of teams that provides support for onboarding compliance and reference data governance for CIB Markets as well as the broader Wells Fargo organization. The Client Data & Onboarding organization aims to be the owners and stewards of client data with a focus on operational excellence and superior client servicing.

This role is a lead position with RDD that will oversee critical regulatory functions including both pre-trade regulatory requirements and post-trade regulatory checks, ensuring clients have met all applicable requirements. 

In this role, you will:

• 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

Required Qualifications:

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

Desired Qualifications:

• 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 collabora