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About this role:Wells Fargo is seeking a Senior Institutional Investment Operations Specialist to help lead the CIB Operations Regulatory Due Diligence (RDD) Team. The RDD team in CIB Operations Client Data & Onboarding is responsible for ensuring front-to-back governance of the client onboarding and lifecycle process. This includes regulatory adherence for both pre-trade and post-trade documentation. The Operations Client Data & Onboarding team is a cross-functional group of teams that provides support for onboarding compliance and reference data governance for CIB Markets as well as the broader Wells Fargo organization. The Client Data & Onboarding organization aims to be the owners and stewards of client data with a focus on operational excellence and superior client servicing. Learn more about our career areas and lines of business at wellsfargojobs.com.
In this role, you will:- Drive the regulatory pre-trade and post-trade functions for CIB and ensure the team is properly reviewing, dispositioning, and escalating all potential exceptions
- Steward RDD touchpoints with upstream/horizontal/downstream stakeholders such as front office, 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
- Identifying and implementing efficiencies as it relates to the regulatory onboarding process ensuring all requirements are met, but also that the process is as efficient as possible for a positive client experience
- Assist in lifecycle support for institutional trade flow
- 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
- Lead team and exercise independent judgment 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:- Regulatory due diligence experience (RDD)
- Bachelor's degree in Finance, Management, Accounting and/or Economics
- Experience in Financial Services Operations/complex processes
- Sound Business Writing and Communication Skills
- 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
- Ability to convey processes, procedures, guidelines, and analytics to variety of audiences
- Self-motivated and a strong desire for continued learning
- Advanced Excel and other MS Office products skills
- 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
Primary Posting Location:- 550 S Tryon St, Charlotte, North Carolina 28202
Job Expectations: - This position offers a hybrid work schedule at the posted locations listed.
- Relocation assistance is not available for this position.
- Visa Sponsorship not available for this position.
Corporate & Investment Banking delivers a comprehensive suite of capital markets, banking, and financial products and services. A trusted partner to our clients, we provide corporate and transactional banking; commercial real estate lending and servicing; investment banking; equity; foreign exchange, rates and fixed income solutions including sales, trading, and research capabilities to corporate, commercial real estate, government, and institutional clients across the globe.
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 CRF 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.
Posting End Date: 29 Oct 2025
*Job posting may come down early due to volume of applicants. We Value Equal OpportunityWells 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 unit's risk appetite and all risk and compliance program requirements.
Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
Applicants with DisabilitiesTo request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
Drug and Alcohol PolicyWells 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.
