Institutional Investment Operations Specialist

Institutional Investment Operations Specialist

At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you. Wells Fargo is seeking an Institutional Investment Operations Specialist within our Client Data and Onboarding Facilitation team as a part of Corporate Investment Banking Operations. The Client Facilitation team will liaise with external and internal customers to comply with all operational, compliance, regulatory and internal policies as part of the client onboarding process. The current Client Onboarding process is initiated through various teams across the organization and is managed in the US. This role is meant to be strategic in influencing how the centralized team will function and perform in the future. The aim is to have a centralized team with regional representation to support growing business in London and Asia. This initiative is accompanied by a major effort to redesign current operational functions as well as to create a unified workflow tool to provide transparency, accountability, KPI's and metrics. In this role, you will deliver high standards of client service while ensuring all internal risk and external compliance standards and requirements are fully met. You will gather evidence of customer profile via documentary or non-documentary means utilizing both in-house and external sources. You will initiate client onboarding processes by entering data into client onboarding system and sharing documents with internal teams such as Regulatory Due Diligence, Client Due Diligence, Client Maintenance, Legal and Compliance. You will track progress and provide status of onboarding requests to the request initiator. You will understand, follow, and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the product / business supported. You will maintain all WF internal control standards, implement new controls and address any internal or external audit points raised. You will understand operations risk scenarios associated with the role and adhere to all policies. You will provide leadership to bring groups together to resolve multi-faceted complex issues. You will serve as a leader on projects along with internal and industry related initiatives.

Required Qualifications : 2+ 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 : Solid understanding of regulatory implications for FATCA, Dodd Frank, EMIR, OFAC, Patriot Act, SEC, CFTC and FINRA regulations. Knowledge and understanding of regulatory compliance requirements surrounding broker dealer roles and FINRA Rules. Relevant experience within a Compliance, AML / KYC or Operational risk team is preferred. Understanding of BSA / AML / OFAC laws and regulations. Experience compiling metrics, customer profiles and maintaining SLA's preferred. Working knowledge of Broadridge, Calypso, GMI, COBAM, CID, and Loan IQ or similar 3rd party vendors a plus. Advanced Microsoft Office skills. Excellent verbal, written, and interpersonal communication skills. Strong analytical skills with high attention to detail and accuracy. Ability to articulate complex concepts in a clear manner. Experience participating in multiple concurrent projects or large-scale individual projects. Ability to work in a fast-paced deadline driven environment. Well-organized with the ability to prioritize within a multi-project environment and proactively meet established deadlines. Ability to effectively capture system and process issues and communicate them as to address items in a prioritized manner for better resolution.

Job Expectations : Ability to work a hybrid schedule. Willingness to work on-site at stated location on the job opening. Ability to work additional hours as needed. This position is not eligible for Visa sponsorship.

Posting Location : 550 S Tryon St, Charlotte, North Carolina 28202

We Value Equal Opportunity. Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.