Institutional Investment Operations Specialist - Regulatory Due Diligence
About the position At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. 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 an Institutional Investment Operations Specialist in Regulatory Due Diligence as part of our Corporate Investment Banking (CIB) Operations division. Learn more about our career areas and lines of business at wellsfargojobs.com. In this role, you will: Accurately review and remediate regulatory documentation, which includes, but is not limited to Dodd Frank, QFC Resolution Stay, MiFID II, EMIR and various legal notices covering swaps and trades for various lines of business Technical aptitude to update systems accurately with extraordinary attention to detail Ability to recognize inaccuracies with regulatory documentation, and the ability to remediate inconsistencies with legal, compliance, sales and the customer May be tasked with leading projects for new regulatory requirements, facilitating workflows, writing procedures and providing team trainings Ability to draft presentations to include data analysis and advance excel skills Assist with special projects and gathering data to assist with resolution of issues in areas that may normally be outside of daily responsibilities Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals Present recommendations for resolving complex situations and exercise independent judgement while developing expertise on functions, projects, internal and industry related initiatives
Responsibilities
- Accurately review and remediate regulatory documentation, which includes, but is not limited to Dodd Frank, QFC Resolution Stay, MiFID II, EMIR and various legal notices covering swaps and trades for various lines of business
- Technical aptitude to update systems accurately with extraordinary attention to detail
- Ability to recognize inaccuracies with regulatory documentation, and the ability to remediate inconsistencies with legal, compliance, sales and the customer
- May be tasked with leading projects for new regulatory requirements, facilitating workflows, writing procedures and providing team trainings
- Ability to draft presentations to include data analysis and advance excel skills
- Assist with special projects and gathering data to assist with resolution of issues in areas that may normally be outside of daily responsibilities
- Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
- Present recommendations for resolving complex situations and exercise independent judgement while developing expertise on functions, projects, internal and industry related initiatives
Requirements
- 2+ years of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Nice-to-haves
- Bachelor's degree in finance, Management, Accounting and/or Economics
- Sound analytical skills and attention to detail
- 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
- Sound Business Writing and Communication Skills
- Ability to convey processes, procedures, guidelines, and analytics to variety of audiences
- Self-motivated and a strong desire for continued learning
- Proficient with Microsoft Excel and Access including formulas, macros, pivot tables, queries and reporting
- 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
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