- The role will primarily support the EMEA and APAC Bond, Rates Derivatives and FX Businesses in enabling electronic trading connectivity with their customers on external trading platforms such as Bloomberg and Tradeweb and the maintenance of Sales and Trading staff data in both internal and external systems to fulfil our regulatory transaction reporting obligations
- The COB Facilitator will be responsible for delivering high standards of client service while at the same time ensuring that all internal (Risk) and external (Compliance) standards and requirements are met. The Facilitator will gather evidence of customer profile via documentary or non-documentary means utilizing both in-house and external sources. They will initiate the Client Onboarding process for both new Legal Relationships and Funds of existing customers by entering data into the client onboarding system and share documents with internal teams such as the Documentation, AML and Credit teams. The facilitator will track progress and provide status of onboarding request to the request initiator.
- Team members 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.
- Develop and enhance client relationships, at multiple levels, by providing exceptional levels of client service.
- Expertly navigate the Wells Fargo organization, across divisions, to deliver timely and accurate issue resolution to complex, business critical issues which may include communication with senior stakeholders within Ops and the BU.
- Partner with Daily Processing teams to identify key Ops issues, trends and efficiency opportunities that can be addressed with clients with the goal of enhancing STP.
- Keep abreast of current and upcoming product and functional specific industry initiative related topics.
- Reviewing completeness of legal documentation and requirements and approving customers to trade regulated products.
Required Qualifications, International:
- Experience working on electronic trading enablement in external platforms such as Bloomberg, Tradeweb etc.
- Experience working within Client Onboarding, preferable as a Facilitator within the Bonds Rates & FX lines of business.
- Experience understanding legal documents required for onboarding clients.
- Experience in client integration and management
- An understanding of, the regulatory implications of FATCA, CRS, Dodd Frank, EMIR, MiFID II regulations
- Technical understanding of transaction lifecycle in Bonds, FX and Rates Derivatives (Additional asset classes is a plus)
- Experience of financial institution Operations
- Proven experience with external Institutional Client communications and interaction.
- Relevant experience within Client Onboarding for financial company.
- Relevant experience within a Compliance, AML/KYC or Operational risk team is preferred.
- Experience working in a demanding fast- paced financial institution, strong interpersonal skills and the ability to build and maintain strong relationships.
- They must have excellent written/verbal communication skills.
- Proven ability to work across global departments to build credibility and strong relationships.
- Experience compiling metrics, customer profiles and maintaining SLA’s preferred.
- Strong listening and verbal/written communications
- Strong presentation skills
- Educated to an A-level or Degree standard.
Job Expectations:
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, age, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
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.
Drug and Alcohol Policy
Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
