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Business Execution Administrator - CAT

About this role:

Wells Fargo is seeking a Business Execution Administrator to join the Trade Regulatory Reporting Team.  This role will be responsible for supporting the firm’s regulatory reporting obligations and adherence to Consolidated Audit Trail (CAT).  This is a highly regulated area and often subject to numerous internal and/or external exams or reviews.  Responsibilities of the role include but are not limited to research and remediation of process exceptions, reporting analysis and the ability to detect problematic behaviors that may compromise the regulatory requirements of CAT.  May also assist with the administration of programs, projects or processes specific to the business and maintain spreadsheets and/or databases to monitor departmental information.


In this role, you will:

  • Support in implementation of initiatives related to operations and Business Execution across multiple lines of business
  • Identify opportunities to improve processes and provide support to a variety of diverse support functions or operations
  • Perform moderately complex cross organizational administrative, transactional, and operational tasks including policy or process changes, process improvements, and technology enhancement tasks
  • Receive direction from supervisors
  • Assist with the administration of Strategy and Execution programs, projects, or processes specific to the business
  • Interact with colleagues of a specific line of business for the purpose of executing a variety of programs, services, and initiatives


Required Qualifications, US:

  • 2+ years of Administrative Support, Business Operations, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education



Desired Qualifications:

  • 3+ years of brokerage or financial services experience
  • Ability to coordinate completion of multiple tasks and meet aggressive time frames.
  • Knowledge of FINRA and SEC rules and regulations.
  • Experience requiring strong relationship-building skills with ability to engage and influence others towards achieving common business goals strategic to a line of business or group.
  • Experience requiring strong interpersonal and communications skills including the ability to simplify/summarize complex information or situations in presentations to management.
  • Proficient in Microsoft Excel

Posting Locations:

  • 2801 Market Street, St. Louis, MO

  • 550 South 4th St, Minneapolis, MN

  • 1525 W WT Harris Blvd, Charlotte, NC


Job Expectations:

  • Working knowledge of operations functions and associated services within the brokerage industry.

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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