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Senior Institutional Investment Operations Specialist(Self Inspection Program-SIP)

  • Operations
  • Full time
  • R-212003

About this role:

Wells Fargo is seeking a Senior Institutional Investment Operations Specialist...

You will be required to have Capital Markets (Corporate Investment Banking-CIB) experience , will be responsible for executing the Process review and Enhancement(PRE) programs like Self Inspection program (SIP), Business Continuity Planning (BCP), weekly production of WFS Operations metric program and assisting in monthly processing for Sub-Ledger Account Substantiation (SLAS) and Information Security Controls across the different business units in the firm as Cross Functional SIP


In this role, you will:

  • The candidate needs to own the organizational wide initiatives from risk, control perspective, and run it across the business units as a single point of contact.

  • A thorough understanding in reference to CIB organizational policies and procedures is required to simplify and socialize with the teams for an improved adoption and adherence. Eg: Personal Investment Policy, Information Barrier Policy, Required Absence for Sensitive positions policy, FINRA rule 1420 and

  • Candidate will be working for more than one business unit as Cross Function SIP hence required to know the domain knowledge across Reference Data Services, Broker Dealer, FX, Future Commission Merchant and Derivatives Settlements and Middle office Operations as cross-functional SIP

  • Candidate is expected to know Organizational (CIB) wide risks and controls to establish strong governance around it and also monitoring and reporting the control performance across the business units

  • The candidate is expected to conduct walk through sessions with the different operations teams and socialize the team members in order to maintain a collaborative environment to perform process gap analysis, control testing, Metric Mapping, Identifying Key risk indicators and continuous monitoring

  • The successful candidate will be responsible for supporting these work streams.

  • For SIP, the candidate will work closely with PRE I&P manager on executing assessment of WFS Operations EGS functions.

  • •For SLAS, the candidate will be responsible for assisting in production and testing of sub-ledger account reconciliations across WFS Operations.

    •Successful candidates will need to build and manage cross-functional, cross-organizational relationships through consistent collaboration.

    •The individual will also work with technical and operational partners throughout WFS.

  • For BCP, the candidate will collaborate with the business units to evaluate the design and performance of testing and plans, identifying gaps and measuring the effectiveness of those plans in managing operational risk.

  • For WFS Operations Strategy and Metrics, the candidate will contribute to the KRI/KPI/KCI metric platform for local teams across the organization as part of team strategy. 

Required Qualifications, International:

  •  Experience in Capital Market operations/middle office operations into the trade life cycle of static data, confirmations, settlements, reconciliations and investigations.
  • Good amount of working experience in the product classes like FX, equity, fixed income with the functional expertise of brokerage, broker dealer services.

    Moderate experience in Operational risk, specifically identifying and assessing the Key risks, Key Controls, and key risk indicators.

  • 10+ yrs of experience
  • English language proficiency. Ability to work nights
  • Attention to detail
  • Understanding of the processes flows, process gaps and controls associated with a Capital Market operations/middle office operations
  • Knowledge of BCP and Risk Mgt.
  • MS Office skills


Desired Qualifications:

  • 1.Understanding Capital Markets and the different product taxonomies within the business segments (FX, Derivatives, Brokerage)

    2.Knowing Risk function deliverables like Key Risks & Controls and the testing thereof

    3.Importance and role of MIS

    4. Experience with LDRPS; training on ORS

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, 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.


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