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Senior Institutional Investment Operations Specialist

  • Operations
  • Full time
  • R-215459

At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

About this role:

Wells Fargo is seeking a Senior Institutional Investment Operations Specialist to support Asset Servicing for our Corporate and Investment Banking Operations group to provide outstanding service and create an environment that maintains its focus on serving our clients while constantly looking for ways to improve efficiency. Learn more about our career areas and lines of business at wellsfargojobs.com.

In this role, you will:

  • Reconcile and process Income Events, such as Cash Dividends, Interest Payments, and Principal Paydowns
  • EDS Tax Relief Elections
  • Post payable reconciliation and claims processing
  • Work with Agent Banks and Custodians to ensure complete understanding of events and ensuring data flows are correct
  • Communicate with Operations colleagues as well as Client Facing Lines of Business
  • Risk management for events processed
  • Work with external custodians to process allocations from our custodians to our clients
  • Manage of communications with Lines of Business, such as Securities Lending, Prime Brokerage, as well as Operations and Technology partners

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:

  • Ability to demonstrate a good understanding of securities lending practices
  • Knowledge of DTCC for allocations and elections
  • Knowledge of non-US depositories (e.g. Euroclear; Clearstream)
  • 4+ years of experience in a Financial Services firm with a focus on servicing a Prime Services business.
  • Ability to manage workload to ensure all daily tasks are completed in a timely manner and in compliance with departmental procedures.
  • Familiarity with the regulatory environment and maintaining strong controls
  • Experience working with custodians, depositories, agents and brokers to ensure timely and accurate processing of events to client accounts and to appropriately manage risk.
  • Results driven
  • Able to think outside the box
  • Willingness to take on responsibility
  • Lead or participate in moderately complex initiatives and deliverables
  • Identify and recommend opportunities for process improvement and risk control development
  • Review and analyze complex functional and operational tasks that require in-depth evaluation
  • Exercise independent judgment and resolution to guide the deliverable
  • Resolve moderately complex issues
  • Leverage solid understanding of functions, policies, procedures and compliance requirements
  • Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals

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.

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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