Easter Seals Jobs

Department Overview

Process Review and Enhancement(PRE) is responsible to manage risk and control within Corporate Investment Banking(CIB-Wholesale) group by executing Self Inspection program (SIP), which supports on various risk and control routines like Incident/event management, Risk reviews, Control Reviews and Control testing and monthly cadence with the leadership on risk and control to support business decisions in references to Audits, regulations, Control assurance.

About this role:

Wells Fargo is seeking a Senior Institutional Investment Operations Specialist.

In this role, you will:

• Be required to have Capital Markets experience

• Be responsible for executing the Process review and Enhancement (PRE) Self Inspection program (SIP),

• Responsible for weekly production of WFS Operations metric program.

• Assisting in delivering the periodic risk and control routines, where most of the interactions are with Senior leadership, Control, Compliance partners across US and India

You are expected to conduct walk through sessions with the operations teams (Functional teams FX, Securities Ops, Derivative Ops, Middle office and Reference Data Teams, Regulatory Reporting teams) and socialize the team members in order to maintain a collaborative environment to perform process gap analysis, control testing, Metric Mapping, Identifying Key risk indicators and continuous monitoring

You will be responsible for supporting these work streams.

• A thorough understanding in reference to CIB organizational policies and procedures is required to simplify and socialize with the teams for an improved adoption and adherence. Eg: Personal Investment Policy, Information Barrier Policy, Required Absence for Sensitive positions policy, FINRA rule 1420.

• Successful candidates will need to build and manage cross-functional, cross-organizational relationships through consistent collaboration.

• The individual will also work with technical and operational partners throughout WFS.

• Candidate is expected understand operational incidents/events(ICT) and should be capable to run through the root causes with business team’s assistance. Good Written skills are very much needed.

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 in Capital Market operations/middle office operations into the trade life cycle of static data, confirmations, settlements, reconciliations and investigations.

• Good amount of working experience in the product classes like FX, equity, fixed income with the functional expertise of brokerage, broker dealer services.

Job Expectations:

• Understanding Capital Markets and the different product taxonomies within the business segments (FX, Derivatives, Brokerage)

• Knowing Risk function deliverables like Key Risks & Controls and the testing thereof

• Moderate experience in Operational risk, specifically identifying and assessing the Key risks, Key Controls, and key risk indicators.

• 4-8 yrs of experience

• English language proficiency. Ability to work nights

• Attention to detail

• Understanding of the process’s flows, process gaps and controls associated with a Capital Market operations/middle office operations

• Knowledge of BCP and Risk Mgt.

Posting End Date:

14 Mar 2025

*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 (https://www.wellsfargojobs.com/en/diversity/disability-inclusion/) .

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy (https://www.wellsfargojobs.com/en/wells-fargo-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.

Req Number: R-434929