Institutional Investment Operations Associate - Data Analysis

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.

About this role:

Wells Fargo is seeking a Institutional Investment Operations Associate to work on the Shared Services Output Management team as part of Corporate and Investment Banking (CIB) Operations.

This team supports the output of customer account trade confirmations and statements.

In this role, you will:

• Act as a liaison between Wells Fargo and the third-party vendor to ensure documents are generated and delivered within SLA and meet quality standards.
• Partner on projects with the business, regulatory change management, legal and compliance when regulatory requirements or business needs change.  
• Facilitate the review of monthly statements with the QA team along with training and escalation management.
• Review and research complex multi-faceted operational and customer inquiries on securities transactions for institutional trade and transaction flows which may include after hours work to troubleshoot production issues.
• Demonstrate full knowledge and serve as a lead on complex initiatives in operational and customer service for lifecycle support for institutional trade flow functions as well as support resolution of issues in and out of their responsibility.
• Participate in various risk and control framework exercises as well as internal and external audits.

Required Qualifications:

• 6+ months of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Finance related experience &/or equivalent number of years of data analysis utilizing tools such as Microsoft Excel, Microsoft Access, SQL Server, Oracle, while utilizing various methods to automate the output using T-SQL/PL/SQL and writing complex logic to provide the end users with concise reporting.
• Expected to maintain knowledge of the department and industry specific process and procedures,
• Solid understanding of the regulatory implications of FINRA, MSRB and SEC rules related to trade confirmations and statements.
• Strong knowledge of bank software, desktop software, email, and Microsoft suite of applications.
• Extensive experience with user acceptance testing, regression testing, and production checks.
• Experience with data analysis supporting institutional clients.
• Dependability, attention to details, high integrity, and the ability to partner well with others.
• Excellent decision making and problem-solving skills.
• Experience with client relationship management with a focus on risk management and mitigation.

Job Expectations:

• Deep understanding of reference data hierarchy, regulatory knowledge impacting Capital markets is critical to have.
• Self-starter with the ability to challenge status quo & improve quality of delivery /output.
• Ensure operational practices are in compliance with relevant risk standards, policies and regulations to maintain an effective control environment
• Excellent presentation skills, effective written and verbal communication skills.
• Build, maintain & nurture relationship with global senior stake holders
• Communicate, correspond, understand requirements & turn them into meaningful dashboards which influence decision making in the interests of our customers & stake holders.
• Deep data analysis to locate and identify various aspects of the Client reporting requirements. (Data analysis includes potentially manually reviewing documents, system data points, aggregation and reporting of issues or gaps within the data).
• Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnership with business partners and other support functions. Consultative in approach, understanding and anticipating business partner needs and proactively delivering solutions
• Strong organizational and project management skills with demonstrated ability to manage expectations and deliver on commitments

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.

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.