Wells Fargo · 1 month ago
Institutional Investment Operations Specialist - Regulatory Due Diligence
CHARLOTTE, NC
Full-time
Hybrid
Entry, Mid Level
2+ years expWells Fargo is seeking an Institutional Investment Operations Specialist in Regulatory Due Diligence as part of our Corporate Investment Banking Operations division. The role involves reviewing and remediating regulatory documentation, leading projects for new regulatory requirements, and collaborating with various teams to resolve issues and achieve goals.
BankingFinancial ServicesFinTechInsurancePayments
No H1B
Responsibilities
Accurately review and remediate regulatory documentation, which includes, but is not limited to Dodd Frank, QFC Resolution Stay, MiFID II, EMIR and various legal notices covering swaps and trades for various lines of business
Technical aptitude to update systems accurately with extraordinary attention to detail
Ability to recognize inaccuracies with regulatory documentation, and the ability to remediate inconsistencies with legal, compliance, sales and the customer
May be tasked with leading projects for new regulatory requirements, facilitating workflows, writing procedures and providing team trainings
Ability to draft presentations to include data analysis and advance excel skills
Assist with special projects and gathering data to assist with resolution of issues in areas that may normally be outside of daily responsibilities
Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
Present recommendations for resolving complex situations and exercise independent judgement while developing expertise on functions, projects, internal and industry related initiatives
Qualification
Required
2+ years of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Preferred
Bachelor's degree in finance, Management, Accounting and/or Economics
Sound analytical skills and attention to detail
Ability to manage multiple tasks in a fast paced and fluid environment
Ability to adapt and learn new systems, processes, and regulations quickly, and on a regular basis
Sound Business Writing and Communication Skills
Ability to convey processes, procedures, guidelines, and analytics to variety of audiences
Self-motivated and a strong desire for continued learning
Proficient with Microsoft Excel and Access including formulas, macros, pivot tables, queries and reporting
Ability to work across multiple work streams to analyze business processes to determine appropriate solutions
Ability to interact professionally with customers, business partners, peers, and upper management
Company
Wells Fargo
Wells Fargo & Company is a financial services firm that provides banking, insurance, investments, and mortgage services.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
unknown1978-10-06IPO
Leadership Team
Charlie Scharf
CEO
Fernando Rivas
CEO of Corporate & Investment Banking
Recent News
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2026-01-16
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