AddressAt Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity, and inclusion in a workplace where everyone feels valued and inspired. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.
About this role:
Wells Fargo is seeking a Senior Institutional Investment Operations Specialist within our (CAT) Oversight Team as part of Corporate Investment Banking.
In this role, you will:
Be a part of a small global team who monitor daily Consolidated Audit Trail (CAT) reporting to identify errors, research root causes, initiate remediation, make corrections, and track resolutions. You will expand your understanding of the equity and options order and trade process and play a leading role with a virtual team of technology partners maintaining end to end systems generating data for CAT reporting. You will also play a key role in testing and implementing new technologies and assist in the implementation of data management standards.
Lead or participate in moderately complex initiatives and deliverables.
Contribute to large scale planning related to process, procedures, and efficiencies with internal and industry related initiatives.
Identify and recommend opportunities for process improvement and risk control development.
Provide leadership to bring groups together to resolve multi-faceted complex issues.
Serve as a leader on projects along with internal and industry related initiatives.
Review and analyze complex functional and operational tasks that require in-depth evaluation.
Exercise independent judgment and resolution to guide the deliverable.
Resolve moderately complex issues.
Lead team to meet functional area projects, and process deliverables.
Leverage solid understanding of functions, policies, procedures, and compliance requirements.
Mentor and assist analysts.
Collaborate and consult with peers, colleagues, and managers to resolve issues and achieve goals.
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:
Experience with risk and control programs for regulatory reporting
Knowledge of cash equity processing
Experience with transaction reporting
Experience working with Technology in an agile environment
Strong skillset in data analysis, critical thinking, and networking
Demonstrate leadership and communication abilities
Demonstrate record of achievement in academics, technology, and team building
BS/BA
This role may be located at either of the following locations:
Duke Energy Center, 550 S Tryon St, Charlotte, NC
30 Hudson Yards, 500 W 33rd St, New York, NY
**NY – New York City, Pay Range: $87,700 - $155,900 Annually
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 CFR 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
$73,100.00 - $155,900.00Benefits
Wells Fargo provides all eligible full- and part-time employees with a comprehensive set of benefits designed to protect their physical and financial health and to help them make the most of their financial future. Visit Benefits - Wells Fargo Careers for an overview of the following benefit plans and programs offered to employees.
- 401(k) Plan
- Paid Time Off
- Parental Leave
- Critical Caregiving Leave
- Discounts and Savings
- Health Benefits
- Commuter Benefits
- Tuition Reimbursement
- Scholarships for dependent children
- Adoption Reimbursement
Posting End Date:
20 May 2024*Job posting may come down early due to volume of applicants.
We Value Diversity
At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.
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 US: 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.
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.
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