Wells Fargo Institutional Investment Operations Specialist - Client Facilitation team 

United States, North Carolina, Charlotte 

351310902

About this role:

The COB Facilitator will be responsible for delivering high standards of client service while at the same time ensuring that all internal (Risk) and external (Compliance) standards and requirements are fully met. The Facilitator will gather evidence of customer profile via documentary or non-documentary means utilizing both in-house and external sources. They will initiate the Client Onboarding process by entering data into the client onboarding system and share documents with internal teams such as the Regulatory Due Diligence, Client Due Diligence, Client Maintenance, Legal, Compliance, etc. The facilitator will track progress and provide status of onboarding request to the request initiator. The Facilitator role will be an SME within the various lines of business we support such as FX, Rates, Prime Services, the Futures Clearing Merchant, Fixed Income, Loan Sales, and Equities.

The applicant must have a solid understanding of the regulatory implications of FATCA, Dodd Frank, EMIR, OFAC, Patriot Act, SEC, CFTC, and FINRA regulations.

In this role, you will:

• Participate in lifecycle support tasks for institutional trade initiatives and identify opportunity for process improvements.
• Assist leadership in bringing individual or teams together in order to resolve complex issues.
• Assist in client account onboarding, input and monitoring of cash payments, customer service, project support, funding operations, custodial operations, securities settlement services, structured loan operations, general ledger reconciliation, as well as, work to resolve confirmation and ISDA related issue.
• Provide subject matter expertise on projects along with internal and industry related initiatives.
• Review and analyze functional operational tasks that require research, evaluation, and exercise independent judgment to guide the deliverable.
• Present recommendations for resolving complex situations and exercise independent judgement while developing expertise on functions, projects, internal and industry related initiatives.
• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals.

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:

• BS/BA degree or higher.
• 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.
• Knowledge and understanding of regulatory compliance requirements surrounding broker dealer roles and FINRA Rules.
• 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.
• Relevant experience within a Compliance, AML/KYC or Operational risk team is preferred.
• 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.

Job Expectations:

• Ability to work additional hours as needed.
• Ability to work outside of regular business hours.
• Work at the posted location below on a hybrid schedule of three (3) days in office and two (2) days from home.
• Office location:

13 Mar 2025

Wells Fargo Recruitment and Hiring Requirements:

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