Assistant General Counsel Vp-equity Derivatives jobs at Wells Fargo in United States, New York

In this role, you will:

• Provide legal advice and counsel to the OTC equity derivatives sales and trading, and market-linked notes business, including sales, trading, credit, compliance, and operations functions
• Review and analyze challenges for the OTC equity derivatives sales and trading business that require an in-depth evaluation of variable factors
• Manage matters of legal significance to the equity derivatives sales and trading business and develop and render opinions, consult with, and advise clients on legal and regulatory matters
• Draft and revise complex legal documents; review and negotiate documents prepared by outside counsel
• Independently resolve moderately complex legal issues and lead team to meet deliverables
• Identify and analyze complex legal issues, develop conclusions, and make recommendations for issue resolution
• Participate in the strategic direction and philosophy of support for the equity derivative trading business
• Collaborate with peers, colleagues, and mid-level managers to resolve issues and achieve goals
• Work directly with front-office business clients and develop an in-depth understanding of equity derivative trading business activities and products
• Partner with business leaders and management of other corporate departments to develop and implement risk management programs
• Provide counsel and advice regarding related cleared derivatives and bilateral hedging transactions subject to ISDA Master Agreements and ISDA Equity Derivatives Definitions

Required Qualifications:

• 5+ years of Law experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• Active State Bar membership or the equivalent in a country outside the United States

Desired Qualifications:

• 3+ years of significant experience in representing clients with respect to OTC equity derivatives and publicly issued structured notes transactions
• Significant knowledge and experience with U.S. laws, rules and regulations relevant to securities and OTC derivatives, particularly the Securities Act of 1933, the Securities Exchange Act of 1934, and the Dodd-Frank Act
• Experience, knowledge and familiarity with ISDA documentation including relevant ISDA Definitions (e.g., Equity Derivatives)
• Legal transactional and related regulatory experience in a major law firm or corporate legal department
• Strong analytical skills with high attention to detail and accuracy
• Experience building partnerships and consulting effectively with leadership
• Desire to work in a fast paced, high demand environment while balancing multiple priorities

Pay Range

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

• Review and approve equity research reports, including flash notes, reports, initiations, decks, models and coverage launches for compliance with FINRA rules and department policies, as well as for clarity and effective communication.
• Thoroughly understand financial models and how to review them in conjunction with published research.
• Have proficiency to multi-task, with the ability to review multiple reports simultaneously while closely communicating with analysts and team members.
• Possess excellent command of the English language, including rewriting and editing for grammar and style.
• Communicate effectively and understand when to consult with teammates and/or escalate issues.
• Work Monday-Thursday 2PM - 10PM EST, Friday 10AM - 6PM , with the flexibility to periodically adjust as scheduling and workflow dictate.

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

• 5+ years of experience working as a supervisory analyst reviewing equity research.
• Able to work independently and yet be part of a team.
• Strong computer skills; Blue Matrix experience a plus.
• Superior attention to detail, balanced against the need for timely review.
• Analysts and team members are dispersed across the U.S., so excellent communication and collaboration skills are a must.
• Eagerness to build positive relationships with analysts.
• Ability to work under pressure.
• Team player with willingness to handle different products and assignments.

• This is a remote position ( Monday-Thursday 2PM - 10PM EST, Friday 10AM - 6PM) that serves analysts in the US.
• Registration for FINRA Series 16 must be completed within 180 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance 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.
• Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.
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• 100% Remote work location is available for this position

Pay Range

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

About this role:

This role will be based in New York City.

In this role, you will:

• Work with the COO and support partners on day-to-day activities including problem solving, trouble shooting, issue management, communications, etc. This role will often serve as Front Office representation when interacting with Business Control, Compliance, Legal, Finance, Audit, and all other support partners.
• Help manage hiring process -- Onboard and off-board employees (i.e. hardware; market data; software; shared folder & badge access; appropriate internal systems; remote access, etc.)
• Lead a dedicated and consistent review of all expenses in efforts to provide greater transparency and cost reduction.
• Work with the firm’s Business Control group to ensure the department’s disaster recovery plans are up to date and account for all of the critical functions.
• Assist in space planning (new buildouts, moves and/or changes).
• Assist in execution for all technology, change management and project initiatives.
• Participate in a variety of assigned and ongoing business operations to ensure success in meeting business goals and objectives.
• Present recommendations to develop, implement, and monitor strategic approaches, effectiveness of support function, and business performance improvement opportunities for managing risks of the business.

Required Qualifications:

• 2+ years ofBusiness Execution, Implementation, or Strategic Planningexperience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• 2+ years Securities industry experience, preferably in Research
• Experience working in operations, COO and/or similar functions within CIB and/or Markets.
• Ability to articulate issues, risks, and proposed solutions to various levels of staff and management.
• Strong, clear, and concise written and oral communication skills.
• Ability to manage vendor relationships for products or services including contract negotiation, oversight, and SLA management.
• Experience using business knowledge and critical thinking skills to deliver upstream and downstream project impacts.
• Open to driving efficiencies and create automations where possible.
• Ability to develop operational reporting and performing data analysis.
• Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment.
• Ability to develop partnerships and collaborate with other business and functional areas.
• Advanced Microsoft Office (Word, Excel, and Outlook) skills.
• Unquestioned commitment to the Core Values and objectives of Wells Fargo.

Posting Location:

• 150 E 42nd Street, New York, NY

Job Expectations:

• Ability to work nights, weekends, and/or holidays as needed or scheduled
• Ability to work outside of regular business hours
• Visa sponsorship is not available
• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance 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
• Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.

Pay Range

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

In this role, you will:

• Advise on regulatory matters impacting CFTC regulated swaps as well as SEC regulated securities-based swaps
• Provide regulatory advice on CFTC/SEC regulated swaps to cover associated conduct of business requirements including margining, reporting, disclosure, documentation and related obligations
• Advising on licensing, permissibility and regulatory legislation impacting CIB.
• Implement and interpret legislative and regulatory changes impacting the CIB business.
• Identify and advise on legal regulatory risks across CIB cross-border transactions.
• Advise on structuring cross-border products or services to comply with local legislation.
• Work directly with the business, LOB Legal and other functions, including compliance and controls
• Provide regulatory advice on business and product development into new jurisdictions
• Participate in initiatives and identify opportunity for process improvement
• Advise on the impact of policy, legal, and regulatory change
• Collaborate with functional colleagues, internal partners, and stakeholders
• Partner with business leaders and management of other corporate departments to develop and implement risk management program

Required Qualifications:

• 4+ years of Law experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• Active State Bar membership or the equivalent in a country outside the United States

Desired Qualifications:

• Experience as a practicing attorney in private practice supporting financial services clients or in a financial services in-house legal department and/or financial regulatory agency
• Experience advising on legal, regulatory, and compliance issues on swaps and/or derivatives
• Demonstrated experience in analyzing legal and regulatory issues within the relevant practice area, and in delivering effective counsel to clients on complex legal matters
• Ability to evaluate impacts based on changes in laws or regulations
• Experience conducting research and providing counsel and guidance regarding complex legal issues.

Pay Range

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

In this role, you will:

In this position you will partner with the Senior Analyst covering the Power & Utilities sector. Primary responsibilities include conducting the fundamental equity research process for the purpose of providing differentiated industry and stock-specific content, including building and maintaining financial estimates, maintaining financial databases, and writing reports on companies under coverage and key industry themes. The Associate will need to build strong relationships not only with Equity Research colleagues, but also with Equity Sales, Cash Trading, Derivatives, Wealth Management, and others.

• Develop expertise on companies in the Power & Utilities sector.
• Write research reports on key company updates and industry themes.
• Create and update financial models and databases
• Attend company and industry events; cultivate relationships with covered companies and industry contacts
• Communicate team views on covered companies with internal and external constituents
• Exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals

* *Candidates with experience in Corporate finance, Corporate development and/or M&A Valuation from Utility/Energy Infrastructure corporate backgrounds will be considered

Required Qualifications:

• 2+ years of Securities Research experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Strong knowledge of the utilities sector
• Experience in Corporate finance, Corporate development and/or M&A Valuation from Utility/Energy Infrastructure
• Experience writing research reports and delivering company updates and industry themes
• Understanding of regulated / deregulated energy market
• Understanding of regulatory constructs in US utilities, IPPs and Energy infrastructure
• Advanced experience in financial modeling and writing
• Strong writing skills and attention to detail
• Knowledge and understanding of financial statement analysis
• Knowledge and understanding of accounting principles in the capital markets industry
• Knowledge and understanding of investment tools such as Bloomberg or FactSet application
• Strong, clear and concise written and oral communication skills

Job Expectations:

• Up to 10% travel
• Registration for FINRA SIE must be completed within 180 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
• Registration for FINRA Series 63 (or 66) must be completed within 180 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
• Registration for FINRA Series 86 must be completed within 180 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
• Registration for FINRA Series 87 must be completed within 180 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
• This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to compliance 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.
• Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.

Posting Location:

• 150 E 42nd Street, New York, NY

Pay Range

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

About this role:

This role will be a mid-level attorney who will work closely with senior attorneys to support licensing and permissibility issues for CIB products and services.

Responsibilities:

• Advise on licensing, permissibility and regulatory legislation impacting CIB, with a particular focus on the US.
• Implement and interpret legislative and regulatory changes impacting the CIB business.
• Identify and advise on legal regulatory risks across CIB cross-border transactions.
• Advise on structuring cross-border products or services to comply with local legislation.
• Advise on legal permissibility & regulatory guidance regarding development and maintenance of front office cross border target operating models.
• Support to business, LOB Legal and other functions, including compliance and controls
• Regulatory advice on business and product development into new jurisdictions
• Participate in initiatives and identify opportunity for process improvement
• Advise on the impact of policy, legal, and regulatory change
• Collaborate with functional colleagues, internal partners, and stakeholders
• Partner with business leaders and management of other corporate departments to develop and implement risk management program

Required Qualifications:

• 4+ years of Law experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• Active State Bar membership in the United States

Desired Qualifications:

• Experience as a practicing attorney in private practice supporting financial services clients or in a financial services in-house legal department and/or financial regulatory agency
• Experience advising CIB businesses on cross-border legal matters (including licensing and permissibility) and assessing the impact of regulatory changes to the business
• Demonstrated experience in analyzing legal and regulatory issues within the relevant practice area, and in delivering effective counsel to clients on complex legal matters
• Prior experience in advising on legal, regulatory, and compliance issues for a financial services firm.
• Ability to evaluate impacts based on changes in laws or regulations.
• Experience conducting research and providing counsel and guidance regarding complex legal issues.

Pay Range

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

In this role, you will:

• Lead complex initiatives on selected domains
• Ensure systems are monitored to increase operational efficiency and managed to mitigate risk
• Define opportunities to maximize resource utilization and improve processes while reducing cost
• Lead, design, develop, test and implement applications and system components, tools and utilities, models, simulation, and analytics to manage complex business functions using sophisticated technologies
• Resolve coding, testing and escalated platform issues of a technically challenging nature
• Lead team to ensure compliance and risk management requirements for supported area are met and work with other stakeholders to implement key risk initiatives
• Mentor less experienced software engineers
• Collaborate and influence all levels of professionals including managers
• Lead team to achieve objectives
• Partner with production support and platform engineering teams effectively
• Sit on the trading floor

Required Qualifications:

• 5+ years of Specialty Software Engineering experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 5+ years of C#.NET experience

Desired Qualifications:

• 5+ years of experience working with Excel .NET API
• 2+ years of Visual Basic for Applications (VBA) experience
• 5+ years of Python experience
• 2+ years of + GenAI experience
• 5+ years of SQL experience
• 5+ years of XML (Extensible Markup Language) experience
• 5+ years of Distributed Cache experience (Coherence/Ignite)
• 5+ years of experience working with derivatives and securities products in any of the following areas: technology, finance, regulatory reporting, risk, middle office or operations
• 5+ years of pricing or risk systems in development experience, familiarity with Calypso
• Advanced Microsoft Excel skills, including high level of proficiency in modeling
• Knowledge and understanding of quantitative analysis and modeling of financial products
• Knowledge and understanding of software development life cycle (SDLC): code control, build and deployment
• Knowledge and understanding of Agile
• Knowledge and understanding of Devops(git/jenkins/deploymenttools)
• Intermediate web development skills
• Experience working with traders
  

Job Expectations:

• Ability to work a hybrid schedule
• Relocation assistance is not available for this position
• This position is not eligible for Visa sponsorship

Pay Range

Wells Fargo Recruitment and Hiring Requirements:

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.