Senior Institutional Investment Operations Specialist, Wells Fargo

Senior Institutional Investment Operations Specialist

Wells Fargo

Location:

United States, Charlotte

Category:

Finance

Contract Type:

Employment contract

Salary:

Not provided

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Job Description:

Wells Fargo is seeking a Senior Institutional Investment Operations Specialist to work on the Shared Services Output Management team as part of Corporate and Investment Banking (CIB) Operations. This team supports the output of customer account trade confirmations and statements. The role involves quality control, regulatory compliance, and partnering with various teams to enhance processes.

Job Responsibility:

perform the review of monthly statements with the QA team along with training and escalation management
run daily quality control checks on 10b10 confirms and be the POC to investigate breaks on the confirms
serve as the statements and confirms expert on projects with the business, regulatory change management, legal and compliance when regulatory requirements or business needs change
apply monthly quality control checks on confirms and work with compliance to report identified issues

Requirements:

4+ years of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
solid understanding of the regulatory implications of FINRA, MSRB and SEC rules related to trade confirmations and statements
understanding and experience working with SQL, Python, Oracle, Git, SharePoint, Jira, and Tableau
strong knowledge of bank software, desktop software, email, and Microsoft suite of applications
extensive experience with user acceptance testing, regression testing, and production checks
experience with data analysis supporting institutional clients
ability to manage multiple tasks and work in a deadline driven environment to obtain results
dependability, attention to details, high integrity, and the ability to partner well with others
work with the third-party vendor to ensure documents are generated and delivered within SLA and meet quality standards
harness technical skills to automate and improve monthly confirms and statements review processes
review and research complex multi-faceted operational and customer inquiries on securities transactions for institutional trade and transaction flows which may include after-hours work to troubleshoot production issues
demonstrate full knowledge and serve as a lead on complex initiatives in operational and customer service for lifecycle support for institutional trade flow functions as well as support resolution of issues in and out of their responsibility
participate in various risk and control framework exercises as well as internal and external audits

Additional Information:

Job Posted:

March 28, 2025

Expiration:

April 17, 2025

Employment Type:

Fulltime

Work Type:

Hybrid work

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