At 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 Lead Institutional Investment Operations Specialist within our Client Facilitations team as a part of Corporate and Investment Banking (CIB) Operations group.

This individual will manage the onboarding process across various support functions (CDD, Tax, Credit, Client Data) to ensure a streamlined client experience for our Corporate and Commercial Clients, focusing on FX and Rates products. This individual will carry out our onboarding services which include client engagement with our sales teams, ownership of industry tools to interface with clients, technology changes needed to deliver scalable solutions to onboarding, and assisting with key risk and control activities like audits, policy reviews, procedural changes, etc.

In this role, you will:

• Lead complex initiatives in operational and customer service for lifecycle support for institutional trade flow functions including client account onboarding, cash payments, customer service, funding or custodial operations, securities settlement services, structure loan operations, reconciliation as well as support resolution of issues in and out of their responsibility
• Act as key participant in large scale planning, gathering data to support resolution of issues in areas in and out of responsibility
• Review and research complex multi-faceted operational and customer support on loan, securities and derivative product issues for institutional trade flow and provide oversight and add efficiencies to processes that require in-depth evaluation of multiple factors including intangibles or unprecedented factors
• Demonstrate full knowledge and serve as leadership on projects along with internal and industry related industries
• Make decisions in complex and multi-faceted loan, securities and derivative products requiring understanding of the function, policies, procedures and compliance requirements
• Influence and lead broader work team to meet deliverables and drive new initiatives
• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
• Lead projects and teams, or serve as a peer mentor
• Assist in the management and leadership of the team as well as assist in lifecycle support for institutional trade flow
• Client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, general ledger reconciliation as well as work to resolve confirmation and ISDA related issues
• Assist in gathering data to support resolution of issues in areas in and outside of their responsibility
• Collaborate with Front Office Sales and Trading, Market Risk, Technology, Compliance, Finance, Regulatory, Operations Risk Management and other teams as deemed necessary.
• Provide leadership to bring groups together to resolve multi-faceted complex issues
•  Provide oversight and add efficiencies to processes
• serve as a subject matter expert and leadership on projects along with internal and industry related initiatives
• Develop and enhance client relationships, at multiple levels, by providing exceptional levels of client service
• Navigate the Wells Fargo organization, across divisions, to deliver timely and accurate issue resolution to complex, business critical issues which may include communication with senior stakeholders within Ops and the BU
• Partner with Daily Processing teams to identify key Operational issues, trends and efficiency opportunities that can be addressed with clients with the goal of enhancing STP.
• Keep abreast of current and upcoming product and functional specific industry initiative related topics
• Review completeness of legal documentation and requirements and approving customers to trade regulated products

Required Qualifications, US:

• 7 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:

• 7 years of experience working within Client Onboarding, preferably as a Facilitator with the Rates & FX (Foreign Exchange) LOB.
• 7 years of experience understanding legal documents required for onboarding clients.
• Experience in client integration and management.
• Technical understanding of transaction lifecycle in FX and Rates (additional asset classes is a plus).
• Experience with external client communications and interaction.
• Relevant experience within a compliance, AML/KYC, or operational risk team is preferred.
• Ability to understand and work with data, including creating alignment among various data sources, developing trends, and creating risk-based analytics from multiple information sources.
• Strong communication, negotiation, and collaboration skills, including the ability to negotiate with numerous parties and reach agreeable solutions.
• Prior success in working and communicating with senior level executives.
• Strong organizational skills, attention to detail, and adherence to strict deadlines in a fast -paced environment.
• Strong risk management discipline and problem-solving skills
• Proven experience partnering with technology to write and approve business requirement documentation and implement change
• Ability to effectively multi-task and successfully work on several unrelated projects at the same time
• Excellent interpersonal and communication skills and experience in articulation of risks both verbally and in writing to various levels of staff and management.
• 4 year BS/BA degree or equivalent experience
• Working knowledge of Capital Markets flows (Institutional Securities sales and trading and/or investment banking) in operations, risk management, client service, or compliance/regulatory/legal capacity
• Understanding of Markit Counterparty Manager, Cornerstone, Broadridge, Calypso, SalesForce, WCIS, CID, and GMI applications
• Experience with offboarding and entity management functions and key concepts
• Experience working with credit and document negotiation teams

Job Expectations:

• Registration for FINRA Series 99 must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
• For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required

Corporate & Investment Banking (“CIB”) delivers a comprehensive suite of capital markets, banking, and financial products and services. As a trusted partner to our clients, we provide corporate and transactional banking; commercial real estate lending and servicing; investment banking; equity; and fixed income solutions including sales, trading, and research capabilities to corporate, commercial real estate, government, and institutional clients across the globe.

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: 

*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.

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 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.