Institutional Investment Operations Associate
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About this role:
Wells Fargo is seeking an Institutional Investment Operations Associate within our Client Data and Onboarding team as part of our Corporate Investment Banking (CIB) Operations division. Learn more about our career areas and lines of business at wellsfargojobs.com.
The Wells Fargo CIB Client Data and Onboarding organization consists of a Client Facilitation team, AML/KYC team, and a Client Data & Account Maintenance team. The Client Facilitation team will liaise with external and internal customers to comply with all operational, compliance, regulatory and internal policies as part of the client onboarding process. This function will be responsible for shaping the vision for the future state process and technology requirements. The current Client Onboarding process is initiated through various teams across the organization and is managed in the US. This role is meant to be strategic in influencing how the centralized team will function and perform in the future. The aim is to have a centralized team with regional representation to support growing business in London and Asia. This initiative is accompanied by a major effort to redesign current operational functions as well as to create a unified workflow tool to provide transparency, accountability, KPI's and metrics.
In this role, you will:
- Deliver high standards of client service while ensuring 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 client onboarding processes by entering data into client onboarding system and sharing documents with internal teams such as Regulatory Due Diligence, Client Due Diligence, Client Maintenance, Legal and Compliance
- Track progress and provide status of onboarding requests to the request initiator
- Understand, follow and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the product/business supported
- Maintain all WF internal control standards, implement new controls and address any internal or external audit points raised
- Understand operations risk scenarios associated with the role and adhere to all policies
- 6+ months of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, or education
- Solid understanding of regulatory implications for FATCA, Dodd Frank, EMIR, OFAC, Patriot Act, SEC, CFTC and FINRA regulations
- Account management experience
- Brokerage operations experience
- BSA/AML experience
- Sound customer service background
- Data analysis experience
- Understanding of BSA/AML/OFAC laws and regulations
- Financial industry experience
- Operations experience
- Process definition, documentation, design and improvement experience
- Risk and regulatory compliance background
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- 550 S. Tryon Street, Charlotte, North Carolina 28202
- Ability to work on-site in stated location in compliance with our hybrid schedule
- This position is not eligible for Visa sponsorship
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.
Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.
Posting End Date:
28 Jul 2025
*Job posting may come down early due to volume of applicants.
We Value Equal Opportunity
Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.
Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit's risk appetite and all risk and compliance program requirements.
Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
Applicants with Disabilities
To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
Wells Fargo Recruitment and Hiring Requirements:
a. Third-Party recordings are prohibited unless authorized by Wells Fargo.
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.
Perks and Benefits
Health and Wellness
- Health Insurance
- Health Reimbursement Account
- Dental Insurance
- Vision Insurance
- Life Insurance
- FSA
- HSA
- Mental Health Benefits
- Short-Term Disability
- Long-Term Disability
Parental Benefits
- Adoption Assistance Program
- Family Support Resources
- Birth Parent or Maternity Leave
- Non-Birth Parent or Paternity Leave
- Fertility Benefits
- Return-to-Work Program
Work Flexibility
- Hybrid Work Opportunities
Office Life and Perks
- Commuter Benefits Program
Vacation and Time Off
- Paid Vacation
- Paid Holidays
- Personal/Sick Days
- Volunteer Time Off
Financial and Retirement
- 401(K) With Company Matching
- Performance Bonus
- Stock Purchase Program
Professional Development
- Tuition Reimbursement
- Access to Online Courses
- Internship Program
- Associate or Rotational Training Program
- Promote From Within
- Mentor Program
Diversity and Inclusion
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