Senior Institutional Investment Operations Specialists - Approval to Transact
Senior Institutional Investment Operations Specialists - Approval to Transact
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Job Description
A2T Analyst is expected to: Problem solve trade violations of certain Regulatory Programs by leveraging internal system and teams to discover fact patterns to determine remediation - 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 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.
- Extensive knowledge and understanding of loan securities and derivative products
- Intermediate Microsoft Office skills
- 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
- Ability to effectively assess stakeholder partner or client needs while consulting building solutions and developing processes
- 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
- 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
- Ability to lead projects/initiatives with high risk and complexity
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.
$77000.00 - $121000.00Benefits
Wells Fargo provides eligible employees with a comprehensive set of benefits many of which are listed below. VisitBenefits - 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:
10 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 units risk appetite and all risk and compliance program requirements.
Applicants with Disabilities
To request a medical accommodation during the application or interview process visitDisability 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.
Required Experience:
Senior IC
Employment Type
Full-Time
