Wells Fargo Institutional Investment Operations Associate - Client Facilitation team 

United States, North Carolina, Charlotte 

905672285

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:

• Provide operational and customer support for lifecycle tasks for institutional trades
• Assist with client account onboarding, input and monitoring of cash payments, customer service, funding operations, custodial operations, securities settlement services, asset servicing structured loan operations, general ledger reconciliation and work to resolve confirmation and ISDA related issues
• Assist in gathering data to support resolution of issues
• Receive direction from manager and exercise judgment within defined parameters of the area while developing understanding of various functions, policies and procedures
• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals

Required Qualifications:

• 6+ months 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.
• 6+ months of account management experience
• 6+ months of brokerage operations experience
• 6+ months of BSA/AML experience
• 6+ months of customer service experience
• 6+ months of data analysis experience
• 6+ months of experience with BSA/AML/OFAC laws and regulations
• 6+ months of financial industry experience
• 6+ months of operations experience
• 6+ months of process definition and documentation experience
• 6+ months of process design or improvement experience
• 6+ months of risk and regulatory compliance experience
• 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.