Senior Institutional Investments Operations Specialist

Wells Fargo Bank•Charlotte, NC

1d•Hybrid

About The Position

Wells Fargo is seeking a Senior Institutional Investment Operations Specialist for their Regulatory Reporting Team, part of the Corporate Investment Banking (CIB) Operations Division. This role involves supporting firm-wide regulatory reporting obligations and associated operational control processes. The position is located in Charlotte, North Carolina, and offers a hybrid work schedule. The Corporate & Investment Banking division provides a comprehensive suite of capital markets, banking, and financial products and services to a global client base.

Requirements

4+ years of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check.
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.

Nice To Haves

Exposure to CFTC swap data reporting and or portfolio reconciliation activities
Background supporting regulatory exams or audit engagements, including evidence preparation and issue follow-up
Proven ability to partner with Technology teams on system enhancements, fixes, or process improvements
Demonstrated ability to manage multiple priorities in a deadline-driven, regulated environment
Clear and professional written and verbal communication skills, with the ability to explain complex issues to diverse stakeholders
Sound judgment and attention to detail when assessing risk, controls, and escalation decisions
Collaborative mindset with a track record of effective cross-functional partnership
Ability to work independently while exercising appropriate escalation and follow-through
Continuous improvement orientation, with a focus on process efficiency and quality

Responsibilities

Support firm-wide regulatory reporting obligations and associated operational control processes
Execute daily, monthly, and quarterly regulatory reconciliations, including break identification, investigation, and remediation
Investigate, document, and resolve reporting discrepancies between internal systems and external repositories
Validate regulatory reporting outputs against applicable regulatory requirements and underlying booking models
Support CFTC and other applicable regulatory reporting obligations
Maintain robust operational controls to ensure regulatory compliance, data integrity, and reporting accuracy
Escalate aging breaks, control deficiencies, and systemic risks in line with established governance standards
Support issue, incident, and corrective action management, including root cause analysis and remediation tracking through closure
Produce audit-ready documentation, supporting evidence, and key reporting metrics
Support Internal Audit, Compliance Testing, and regulatory examinations
Partner closely with Technology on tracking, user acceptance testing, and post-implementation reviews
Collaborate with Technology, Front Office, Compliance, Risk, and Operations teams to resolve issues and enhance reporting processes
Drive continuous process improvement initiatives to reduce manual effort and recurring exceptions
Support the implementation of regulatory changes impacting reporting and reconciliation processes
Participate in governance forums, control reviews, and risk assessments
Maintain and update standard operating procedures, desk procedures, and control documentation
Contribute to management reporting, key performance indicators, and risk metrics