Senior Institutional Investment Operations Specialist - DTC Settlements
3 days ago• Charlotte, NC
About this role:
Wells Fargo is seeking a Senior Institutional Investment Operations Specialist within the DTC Settlement Operations team as a part of Corporate Investment Banking Operations. Learn more about the career areas and business divisions at wellsfargojobs.com .
In this role, you will:
- Serve as a key point of contact for issues and current status for the DTC Settlements Manager, and lead day-to-day operational activities
- Assist with daily DTC settlement and fail control processing across domestic markets for all DTC-eligible product types
- Provide leadership to resolve complex, multi-faceted issues across teams.
- Monitor internal and external systems related to trade settlements, focusing on trade clearance and operational risk
- Act as a liaison between settlements and internal/external stakeholders (e.g., Middle Office, Sales, Securities Finance, Compliance, Repo/Funding Desk, counterparty back offices, vendors)
- Maintain a high level of service and collaboration between settlements and supported functional areas
- Lead projects and industry-related initiatives, ensuring timely delivery of assigned responsibilities
- Monitor and act on regulatory buy-in processes (e.g., Rule 204, Reg T, MSRB)
- Leverage buy-in processes to reduce fail obligations and firm risk (seg deficits)
- Monitor CNS obligations and liabilities and liaise with Securities Lending to remediate short positions and fails to receive
- Manage buy-in notices via Smart/TRACK and liaise with counterparties to resolve open obligations
- Provide coverage for international buy-in obligations
- Maintain firm policies and procedures related to street buy-in practices
- 4+ years of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- 4+ years of experience in the securities industry with emphasis on buy-in and international trade settlement
- Expert knowledge of DTCC Smart/TRACK system, OW, Settlement Web and FINRA
- Working knowledge of Broadridge systems including GLOSS, Impact and BPS.
- Detail oriented with effective organizational skills
- BS/BA degree in Finance or related field
- Proficiency in Microsoft Excel is required for analytical purposes (e.g., pivot tables, vlookups, sumifs, etc.)
- Basic knowledge of Microsoft PowerPoint is required to support the group's presentations to senior management
- Strong written and oral communication skills
- Strong knowledge of buy-in rules for domestic markets including DTC, Fed and physical clearance
- Working knowledge of buy-in rules for international markets including Euroclear, Clearstream, Crest and various local markets
- Working knowledge of Prime Broker Operations
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- Monday - Friday: multiple shifts between 6:00am - 6:00pm.
- Ability to work a hybrid schedule
- Willingness to work on-site at stated location on the job opening
- Ability to work additional hours as needed
- This position is not eligible for Visa sponsorship
- 1525 W W.T Harris Blvd, Charlotte, NC 28262
- 550 S Tryon St, Charlotte, NC 28202
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.
Posting End Date:
10 Nov 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.
Client-provided location(s): Charlotte, NC
Job ID: WellsFargo-R-499497
Employment Type: FULL_TIME
Posted: 2025-11-07T18:08:41
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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