About this role:
Wells Fargo is seeking a Capital Markets Middle Office Specialist within the Collateral Management team as a part of Corporate Investment Banking Operations. Learn more about the career areas and business divisions at wellsfargojobs.com.
This resource will support the Collateral Management regulatory obligations and trade‑level control functions. Ensuring compliance with EMIR, CFTC, and SEC regulations through active monitoring, remediation, and reporting of trade discrepancies. Supporting daily control operations, lead root cause analysis, streamline processes, and serve as a subject‑matter expert on portfolio reconciliation and data control activities.
In this role, you will:
Create efficiencies and automation of manual workflow activities
Monitor, analyze, and remediate trade‑level differences across regulatory regimes (EMIR, CFTC, SEC)
Perform root cause analysis on valuation or matching discrepancies and provide daily reporting
Manage case workflow across TriOptima and Derivatives Access (Millie)
Escalate material discrepancies (e.g., >10% differences) to margin teams and trading desks
Conduct trade matching and support remediation activities
Identify stale pricing, unusual valuation swings, and large‑value new trades
Escalate issues to technology, management, or the applicable trading desk
Manage annual and quarterly Port Rec notifications and track completion
Deliver daily reporting (10% reports, case aging, root cause summaries, notification tracking, KYC methodology metrics)
Support audit walkthroughs and provide control evidence
Lead or support corrective action design, testing, and status tracking
Serve as SME on the control framework; identify gaps and propose improvements
Partner with Technology to streamline and automate manual tasks
Enhance reporting capabilities, expand data visibility, and optimize metrics
Learn Data Control Team (DCT) functions to support continuity needs
Required Qualifications:
2+ years of Capital Markets industry experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
Experience in portfolio reconciliation, valuations, trade lifecycle, or collateral management
Demonstrated expertise in root cause analysis, case management, and escalation protocols
Familiarity with EMIR, CFTC, or SEC regulatory requirements preferred
Ability to analyze complex derivatives issues and communicate findings clearly
Strong organizational skills with ability to track reporting, deadlines, and control evidence
Proven ability to partner across Middle Office, Technology, and Front Office teams
Job Expectations:
Ability to work a hybrid schedule
Willingness to work on-site at stated location on the job opening
Ability to work additional hours as needed
This position is not eligible for Visa sponsorship
Posting Location:
550 S Tryon St, Charlotte, NC 28202
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:
3 Jun 2026*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.
