Senior Institutional Investments Operations Specialist

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About this role:

Wells Fargo is seeking a Senior Institutional Investment Operations Specialist for our Regulatory Reporting Team as a 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:

• 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

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:

• 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

Posting Location:

• 550 S Tryon St, Charlotte, North Carolina 28202

Job Expectations:

• Ability to work additional hours as needed.
• This position offers a hybrid work schedule at the posted locations listed.
• Relocation assistance is not available for this position.
• Visa Sponsorship is not available for this position.

Corporate & Investment Banking delivers a comprehensive suite of capital markets, banking, and financial products and services. A trusted partner to our clients, we provide corporate and transactional banking; commercial real estate lending and servicing; investment banking; equity; foreign exchange, rates and fixed income solutions including sales, trading, and research capabilities to corporate, commercial real estate, government, and institutional clients across the globe.

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:

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. 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.

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 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.