Senior Institutional Investment Operations Specialist - Approval to Transact

About this role:

Wells Fargo is seeking a Senior Institutional Investment Operations Specialist within our Approval to Transact team as a part of Corporate Investment Banking Operations. Learn more about the career areas and business divisions at wellsfargojobs.com .

This resource will assume a leading role in implementation of new policies, regulations, technology, and onboarding initiatives - convert policies into procedures, processes and controls, working in partnership with compliance, legal, 1st and 2nd line control, COB, and other stakeholders - improve operational controls to ensure auditability, transparency, and consistency - benchmark internal requirements and processes against industry best practices - oversee governance for "approval to transact" violations - act as a central point of contact for all client onboarding related audits.

In this role, you will:

• Problem solve trade violations of certain Regulatory Programs by leveraging internal system and teams to discover fact patterns to determine remediation
• Manage and perform Quality Assurance sample checks transaction and clients are compliant with regulation and internal policies/requirement/ procedures
• Identify patterns in Regulatory Programs and amend the existing process as needed to ensure constant regulatory compliance and operation efficiency
• Coordinate with groups to publish and highlight true violations and streamline the Track Do Not Trade List and coordinate within Ops to remove trade links
• Steward A2T touchpoints with upstream/horizontal/downstream stakeholders such as legal, client onboarding, reference data, financial crimes, agreement management, regulatory reporting, technology, and new products
• Foster a collaborative, success-oriented team environment where resources are empowered and accountable
• Lead projects for new regulatory requirements, facilitating workflows, writing procedures, and providing team trainings
• Identify and remediate (legacy or new) issues, gaps, risks, data quality and technology deficiencies; be resourceful and proactive with solutions
• Assist with special projects and gathering data to assist with resolution of issues in areas that may normally be outside of daily responsibilities
• Review and analyze functional operational tasks that require research, evaluation, and exercise independent judgment to guide the deliverable
• Establish and maintain strong relationships with Legal, Credit, Compliance, Financial Crimes, Operations, Business, and other internal stakeholders

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

• 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
• Intermediate Microsoft Office skills - 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
• Ability to coordinate completion of multiple tasks and meet aggressive time frames
• Ability to interact with all levels of an organization - Strong collaboration and partnering skills
• Experience building partnerships and consulting effectively with leadership
• Ability to lead projects/initiatives with high risk and complexity
• Strong analytical skills with high attention to detail and accuracy
• Effective organizational, multi-tasking, and prioritizing skills
• Ability to work in a fast-paced deadline driven environment

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.

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.

Pay Range

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.
$77,000.00 - $121,000.00
Benefits

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement

Posting End Date:
17 Aug 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.

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.

Client-provided location(s): Charlotte, NC

Job ID: WellsFargo-R-480771

Employment Type: FULL_TIME

Posted: 2025-08-14T18:08:52