Institutional Investment Operations Specialist - Regulatory Due Diligence

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About this role:
Wells Fargo is seeking an Institutional Investment Operations Specialist in Regulatory Due Diligence as part of our Corporate Investment Banking (CIB) Operations division. Learn more about our career areas and lines of business at wellsfargojobs.com.
In this role, you will:

• Accurately review and remediate regulatory documentation, which includes, but is not limited to Dodd Frank, QFC Resolution Stay, MiFID II, EMIR and various legal notices covering swaps and trades for various lines of business
• Technical aptitude to update systems accurately with extraordinary attention to detail
• Ability to recognize inaccuracies with regulatory documentation, and the ability to remediate inconsistencies with legal, compliance, sales and the customer
• May be tasked with leading projects for new regulatory requirements, facilitating workflows, writing procedures and providing team trainings
• Ability to draft presentations to include data analysis and advance excel skills
• Assist with special projects and gathering data to assist with resolution of issues in areas that may normally be outside of daily responsibilities
• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
• Present recommendations for resolving complex situations and exercise independent judgement while developing expertise on functions, projects, internal and industry related initiatives

Required Qualifications:

• 2+ 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:

• Bachelor's degree in finance, Management, Accounting and/or Economics
• Sound analytical skills and attention to detail
• Ability to manage multiple tasks in a fast paced and fluid environment
• Ability to adapt and learn new systems, processes, and regulations quickly, and on a regular basis
• Sound Business Writing and Communication Skills
• Ability to convey processes, procedures, guidelines, and analytics to variety of audiences
• Self-motivated and a strong desire for continued learning
• Proficient with Microsoft Excel and Access including formulas, macros, pivot tables, queries and reporting
• Ability to work across multiple work streams to analyze business processes to determine appropriate solutions
• Ability to interact professionally with customers, business partners, peers, and upper management

Primary Posting Location:

• 550 S Tryon St, Charlotte, North Carolina 28202

Job Expectations:

• This position offers a hybrid work schedule at the posted locations listed.
• Relocation assistance is not available for this position.
• Visa Sponsorship not available for this position.

Corporate & Investment Banking delivers a comprehensive suite of capital markets, banking, and financial products and services. A trusted partner to our clients, we provide corporate and transactional banking; commercial real estate lending and servicing; investment banking; equity; foreign exchange, rates and fixed income solutions including sales, trading, and research capabilities to corporate, commercial real estate, government, and institutional clients across the globe.
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.
Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.
Posting End Date:
3 Dec 2025
*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.