Wells Fargo Institutional Investment Operations Specialist - Regulatory Due Diligence 

United States, North Carolina, Charlotte 

433638210

In this role, you will:

• Accurately review and remediate regulatory documentation, which includes, but is not limited to Dodd Frank, QFC Record keeping, QFC Resolution Stay and MiFID II and various legal notices covering swaps and trades for various lines of business.
• Technical aptitude to update systems accurately with extraordinary attention to detail.
• Ability to recognize inaccuracies with regulatory documentation, and the ability to remediate inconsistencies with legal, compliance, sales and the customer.
• Intermediate experience or knowledge dealing with DTCC settlements.
• May be tasked with leading projects for new regulatory requirements, facilitating workflows, writing procedures and providing team trainings.
• Ability to draft presentations to include data analysis and advance excel skills.
• Assist with special projects and gathering data to assist with resolution of issues in areas that may normally be outside of daily responsibilities.
• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
• 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, US:

• 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:

• Excellent verbal, written, and interpersonal communication skills
• Strong attention to detail and accuracy
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
• Strong analytical, organizational and research skills
• Generally comfortable communicating with associates, Senior leaders and client representatives at all levels.
• Familiarity with Capital markets operations , specifically in the client onboarding space (such as KYC, regulatory due diligence, tax, agreement negotiation) in one of the following capacities: operations, business lead, compliance, legal, change, strategy, consulting, audit, vendor, or technology.

10 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.