Wells Fargo · 1 day ago
Senior Institutional Investment Operations Specialist - Approval to Transact Team
Charlotte, NC
Full-time
Hybrid
Mid, Senior Level
$77K/yr - $121K/yr
4+ years expWells Fargo is seeking a Senior Institutional Investment Operations Specialist to join the Approval to Transact team within their Corporate Investment Banking organization. The role involves managing trade violations, ensuring compliance with regulatory programs, and maintaining strong relationships with various internal stakeholders.
BankingFinancial ServicesFinTechInsurancePayments
Responsibilities
Problem solve trade violations of certain Regulatory Programs by leveraging internal system and teams to discover fact patterns to determine remediation Manage Perform sample checks transaction and clients are compliant with regulation and internal policies/requirement/procedures
Identify patterns in Regulatory Programs and update the Compliance Stats to prevent more research/ outreach
Track Violations and escalate and work with various Operational teams on resolution - Coordinate with groups to publish and highlight true violations - Streamline the Track Do Not Trade List and coordinate within Ops to remove trade links - provide meaningful subject matter expertise, understand internal/external rules/requirements/SLAs
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 - identify and remediate (legacy or new) issues, gaps, risks, data quality and technology deficiencies; be resourceful and proactive with solutions
Establish and maintain strong relationships with Legal, Credit, Compliance, Financial Crimes, Operations, Business, and other internal stakeholders. Manage monthly metrics and newsletters for our stakeholder's
Qualification
Required
4+ years of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Preferred
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
Extensive knowledge and understanding of loan, securities, and derivative products (front to back flow of exchange traded derivatives)
Ability to lead projects/initiatives with high risk and complexity
Intermediate Microsoft Office skills including proficiency with PowerPoint presentation
Microsoft Excel spreadsheets experience importing, exporting, and manipulating large data
Excellent verbal, written, and interpersonal communication skills
Effective organizational, multi-tasking, and prioritizing skills
Ability to work in a fast-paced deadline driven environment
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
Strong analytical skills with high attention to detail and accuracy
Knowledge and understanding of roles of operations, compliance, client account set-up processes and procedures for corporations and public entities
Strong collaboration and partnering skills
Ability to coordinate completion of multiple tasks and meet aggressive time frames
Ability to interact with all levels of an organization
Experience building partnerships and consulting effectively with leadership
Benefits
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
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
2026-01-23
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2026-01-22
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