Capital Markets Middle Office Associate

About this role:

Wells Fargo is seeking a Capital Markets Middle Office Analyst will be a part of a small global team who will monitor daily SLATE (SEC Rule 10c-1a) controls, as well as other non-financial regulatory reporting regimes, i.e., TRACE and Electronic Blue Sheet reporting, to identify errors, research root causes, initiate remediation, make corrections, and track resolutions. You will expand your understanding of stock loan, fixed income trade processes, post trade regulatory reporting. You will also play a key role in testing and implementing new technologies and assist in the implementation of data management standards.

In this role, you will:

• Participate in research of moderately complex initiatives and deliverables

• Identify and recommend opportunities for process improvement and risk control development

• Review and analyze functional and operational tasks that require in-depth evaluation

• Receive direction from manager and exercise independent judgement while developing an understanding of procedures

• Collaborate and consult with peers, colleagues, and managers to resolve issues and achieve goals

Required Qualifications:

• 6+ months of Capital Markets industry experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Collaborate and consult with peers, colleagues, and managers to resolve issues and achieve goals

• Knowledge of stock loan processing

• Knowledge of TRACE reporting

• Knowledge of Electronic Blue Sheets Reporting

• Experience with transaction reporting

• Experience working with Technology in an agile environment

• Strong skillset in data analysis, critical thinking and networking

• Demonstrated communication abilities

• BS/BA

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

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

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.

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.

$25.48 - $37.98

Benefits

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Criti