Sr. Institutional Investment Operations Specialist - Approval to Transact & Regulatory Due Diligence teams

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About this role:

Wells Fargo is seeking a Senior Institutional Investment Operations Specialist. 

The Approval to Transact (A2T) & Regulatory Due Diligence teams in CIB Operations Shared Services are responsible for the ensuring front to back governance of the client onboarding and lifecycle process. This includes regulatory adherence, trade surveillance and a quality assurance Program. This role is a position within the Regulatory Due Diligence function that oversees critical regulatory checks that are performed both before and after a trade is executed.

In this role, you will:

• Review and remediate regulatory documentation, which includes, but is not limited to Dodd Frank, QFC Record keeping, QFC Resolution Stay, MiFID II, Prime Brokerage and various legal notices covering swaps and trades for various lines of business
• Act as a point of escalation for the team members and effectively communicate those escalations to senior leadership
• Participate in operational lifecycle support tasks for institutional trade initiatives ensuring regulatory adherence for all customers
• Act as a key point of contact and create relationships with sales, operations, legal and compliance to ensure cross organization collaboration
• Identify opportunities for improvements to the existing process and highlight those enhancements to leadership
• Assist with projects for new regulatory requirements, facilitating workflows, writing procedures, and providing team trainings
• Draft presentations in collaboration with senior members of the team and present recommendations for resolving complex situations
• Exercise independent judgement while developing expertise on functions, projects, internal and industry related initiatives
• 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

Required Qualifications, US:

• 4+ 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:

• Excellent verbal, written, and interpersonal communication skills
• Capital markets operations background, specifically in the client onboarding space (such as KYC, regulatory due diligence, tax, agreement negotiation) in one of the following capacities: operations, business lead, compliance, legal, change, strategy, consulting, audit, vendor, or technology
• Strong relationship building and collaboration skills
• Strong attention to detail and accuracy
• Technical aptitude to update systems accurately with extraordinary attention to detail
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
• Strong analytical, organizational and research skills
• Generally comfortable communicating with associates, Senior leaders and client representatives at all levels.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation, and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Posting End Date: 

5 Mar 2025

*Job posting may come down early due to volume of applicants.