Wells Fargo
Senior Institutional Investment Operations Specialist
Wells Fargo, Charlotte, North Carolina, United States, 28202
Senior Institutional Investment Operations Specialist
Wells Fargo is seeking a Senior 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. This function will be responsible for shaping the vision for the future state process and technology requirements. 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 Gather evidence of customer profile via documentary or non-documentary means utilizing both in-house and external sources 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 Track progress and provide status of onboarding requests to the request initiator Understand, follow, and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the product/business supported Maintain all WF internal control standards, implement new controls and address any internal or external audit points raised Understand operations risk scenarios associated with the role and adhere to all policies Provide leadership to bring groups together to resolve multi-faceted complex issues Serve as a leader on projects along with internal and industry related initiatives Required Qualifications: 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: 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, NC 28202 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 CFR 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. 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.
Wells Fargo is seeking a Senior 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. This function will be responsible for shaping the vision for the future state process and technology requirements. 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 Gather evidence of customer profile via documentary or non-documentary means utilizing both in-house and external sources 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 Track progress and provide status of onboarding requests to the request initiator Understand, follow, and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the product/business supported Maintain all WF internal control standards, implement new controls and address any internal or external audit points raised Understand operations risk scenarios associated with the role and adhere to all policies Provide leadership to bring groups together to resolve multi-faceted complex issues Serve as a leader on projects along with internal and industry related initiatives Required Qualifications: 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: 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, NC 28202 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 CFR 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. 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.