Easter Seals Jobs

About this role:

Wells Fargo is seeking an Institutional Investment Operations Specialist within the Shared Services centralized Client Data & Account Maintenance team as a part of Corporate Investment Banking Operations. Learn more about the career areas and business divisions at wellsfargojobs.com .

This Team focuses on effectively processing maintenance activity on client accounts as well as managing stewardship of client data between front-end sales desks and operational support partners. This team is responsible for a wide variety of activities regarding customer reference data and systematic setup within customer data systems as well as downstream trading applications.

In this role, you will:

• Assist in lifecycle support for institutional trade flow

• Onboard clients timely and in accordance with all local and International Compliance and Regulations

• Maintenance customer accounts per operating procedures and in line with the control framework

• Exercise independent judgment and issue resolution

• Leverage solid understanding of functions, policies, procedures and compliance requirements

• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals

• Complete daily risk related tasks take ownership for reporting to senior managers

• Identify and close risk related gaps within the account opening and maintenance process

• Contribute to large scale planning related to process, procedures and efficiencies with internal and industry related initiatives

• Review and analyze complex functional and operational tasks

• Identify opportunities to streamline key functions to provide efficiency and scalability

• Identify opportunities to improve the client experience throughout the onboarding & maintenance processes

• Partner with the sales and front office teams through effective communication

• Take part in key audits or other query related activities assigned to the team

• Define User Requirements and perform User Acceptance Testing

• Trouble-shoot system related operational issues

Required Qualifications, US:

• 2+ 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:

• Knowledge of Capital Markets, Client Data Operations, and Standard Settlement Instructions (SSI)

• Experience with user acceptance testing, regression testing, and production checks

• Strong analytical skills with high attention to detail and accuracy

• Decision making and problem-solving skills

• Working knowledge of CID, COBAM, Calypso, LoanIQ, or Broadridge

• Understanding and experience working with database concepts

• Advanced Microsoft Office Skills

• Understanding and experience with operational risk and control frameworks

Job Expectations:

• Ability to work a hybrid schedule

• Willingness to work on-site at stated location on the job opening

• This position is not eligible for Visa sponsorship

Posting Location:

• 550 S Tryon St, Charlotte, NC 28202

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:

15 Jan 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-417878