Wells Fargo Senior Institutional Investment Operations Specialists - Approval Transact 

United States, North Carolina, Charlotte 

63760907

A2T Analyst is expected to: Problem solve trade violations of certain Regulatory Programs by leveraging internal system and teams to discover fact patterns to determine remediation - Identify patterns in Regulatory Programs and update the Compliance Stats to prevent more research / outreach - Track Violations and escalate and work with various Operational teams on resolution - Coordinate with groups to publish and highlight true violations – Streamline the Track Do Not Trade List and coordinate within Ops to remove trade links - provide meaningful subject matter expertise, understand internal/externalrules/requirements/SLAs- steward A2T touchpoints withupstream/horizontal/downstream

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:

• 4+ years of capital markets industry experience
• 4+ years of experience in one or a combination of the following: securitization accounting, collateral servicing, financial reporting for securitizations, Regulation AB compliance or daily reconciliations of cash for securitized assets.
• 4+ years of experience in the following Regulatory Programs:
  • OTC derivatives-based regulations (such as Dodd-Frank, Emir, Margin rules)
  • SEC/Finra/MSRB regulations with onboarding touchpoints (such as those governing, suitability, approvals, transparency, privacy, and disclosures)
  • Mifid and HKMA onboarding requirements
  • KYC (AML/BSA, Fincen, Travel rule)
  • Tax Documentation (Fatca, CRS)
  • QFC Resolution Stay and Recordkeeping
  • Transaction reporting and client money touchpoints with onboarding
  • Excellent verbal and writing skills. Needs to be proficient with PowerPoint presentation.

• Extensive knowledge and understanding of loan, securities, and derivative products
• Intermediate Microsoft Office skills
• Excellent verbal, written, and interpersonal communication skills
• Effective organizational, multi-tasking, and prioritizing skills
• Ability to work in a fast-paced deadline driven environment
• Ability to articulate issues, risks, and proposed solutions to various levels of staff and management
• Ability to effectively assess stakeholder, partner, or client needs while consulting, building solutions, and developing processes
• Strong analytical skills with high attention to detail and accuracy
• Ability to effectively assess stakeholder, partner, or client needs while consulting, building solutions, and developing processes
• Microsoft Excel spreadsheets experience importing, exporting, and manipulating large data
• Knowledge and understanding of roles of operations, compliance, client account set-up processes and procedures for corporations and public entities
• Knowledge and understanding of derivative products: front to back flow of exchange traded derivatives
• Strong collaboration and partnering skills
• Ability to coordinate completion of multiple tasks and meet aggressive time frames
• Ability to interact with all levels of an organization
• Experience building partnerships and consulting effectively with leadership
• Ability to lead projects/initiatives with high risk and complexity

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.