Wells Fargo Lead Institutional Investment Operations Specialist 

United States, North Carolina, Charlotte 

5414378

In this role, you will:

• Lead complex initiatives in operational and customer service for lifecycle support for institutional trade flow functions including client account onboarding, cash payments, customer service, funding or custodial operations, securities settlement services, structure loan operations, reconciliation as well as support resolution of issues in and out of their responsibility

• Deliver high standards of client service while at the same time ensuring that 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 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.

• Track progress and provide status of onboarding request to the request initiator

• Influence and lead broader work team to meet deliverables and drive new initiatives

• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals

• Lead projects and teams, or serve as a peer mentor

Required Qualifications:

• 5+ 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

• BSA/AML experience

• Cash or derivative products experience

• Process design or improvement experience

• Client relationship management experience

• Risk management and mitigation experience

• Experience with front-to-back processes within a trading, audit, audit process, and audit plan management experience

• Solid understanding of the regulatory implications of FATCA, Dodd Frank, EMIR, OFAC, Patriot Act, SEC, CFTC, and FINRA regulations.

• Account relationship development and management experience

• Understand the concept or experienced in operation risk and control

• Dependability, attention to details, integrity, and work well with others

• Decision making and problem-solving skills essential

• Work with team members and other line of businesses to complete requests within stated time frames and SLA

• Research and resolve issues as instructed, potentially present findings to the wider group and/or additional LOB

• Participate in initiatives or projects, including cross training, as well as development and maintenance of process & procedures documentation

Job Expectations:

• Registration for FINRA Series 99 must be completed within 180 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted

• For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required

• This position offers a hybrid work schedule (minimum 3 days per week onsite) in the preferred location listed below.

• Relocation assistance is not available for this position.

• Visa Sponsorship not available for this position

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 CRF 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.

18 Aug 2024

Wells Fargo Recruitment and Hiring Requirements:

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