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The Role
Leads DTC settlement operations, fail control processing, buy-in management, and trade clearance monitoring across domestic and international markets. Resolves complex operational issues, coordinates with internal teams, counterparties, vendors, and securities lending, and manages regulatory obligations under rules such as Rule 204, Reg T, and MSRB. Maintains procedures, supports prime broker post-trade functions, leads projects, and escalates operational risks while ensuring compliant, high-quality service.
Summary Generated by Built In
About this role:
Wells Fargo is seeking a Senior Institutional Investment Operations Specialist within the DTC Settlement Operations team as a part of Corporate Investment Banking Operations. Learn more about the career areas and business divisions at wellsfargojobs.com .
In this role, you will:
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.
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:
20 Aug 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.
#BI-Hybrid
Wells Fargo is seeking a Senior Institutional Investment Operations Specialist within the DTC Settlement Operations team as a part of Corporate Investment Banking Operations. Learn more about the career areas and business divisions at wellsfargojobs.com .
In this role, you will:
- Serve as a key point of contact for issues and current status for the DTC Settlements Manager, and lead day-to-day operational activities
- Assist with daily DTC settlement and fail control processing across domestic markets for all DTC-eligible product types
- Provide leadership to resolve complex, multi-faceted issues across teams.
- Monitor internal and external systems related to trade settlements, focusing on trade clearance and operational risk
- Act as a liaison between settlements and internal/external stakeholders (e.g., Middle Office, Sales, Securities Finance, Compliance, Repo/Funding Desk, counterparty back offices, vendors)
- Maintain a high level of service and collaboration between settlements and supported functional areas
- Lead projects and industry-related initiatives, ensuring timely delivery of assigned responsibilities
- Monitor and act on regulatory buy-in processes (e.g., Rule 204, Reg T, MSRB)
- Leverage buy-in processes to reduce fail obligations and firm risk (seg deficits)
- Monitor CNS obligations and liabilities and liaise with Securities Lending to remediate short positions and fails to receive
- Manage buy-in notices via Smart/TRACK and liaise with counterparties to resolve open obligations
- Provide coverage for international buy-in obligations
- Maintain firm policies and procedures related to street buy-in practices
- 4+ years of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- 4+ years of securities industry experience with a strong focus on buy-ins, fails management, and domestic and international trade settlement
- Advanced knowledge of DTCC SMART/Track, Omgeo OASYS (OW), Settlement Web, and FINRA regulations and processes
- Working knowledge of Broadridge platforms, including GLOSS, Impact, and BPS
- Strong understanding of domestic buy-in rules and market practices across DTC, Federal Reserve, and physical securities clearance environments
- Working knowledge of international buy-in and settlement processes, including Euroclear, Clearstream, CREST, and other global market infrastructures
- Experience supporting Prime Broker Operations and related post-trade functions
- Proficiency in Microsoft Excel, including advanced analytical functions such as PivotTables, VLOOKUP/XLOOKUP, SUMIFS, and data analysis tools
- Basic proficiency in Microsoft PowerPoint, with the ability to prepare presentations and reporting materials for senior leadership
- Strong attention to detail, organizational skills, and the ability to manage multiple priorities in a fast-paced environment
- Excellent verbal and written communication skills, with the ability to effectively collaborate across operations, trading, and support teams
- 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
- 1525 W W.T Harris Blvd, Charlotte, NC 28262
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.
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:
20 Aug 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.
#BI-Hybrid
Skills Required
- 4+ years of institutional investment operations experience, or equivalent experience, training, military experience, or education
- Ability to work a hybrid schedule and on-site at the stated Charlotte, NC location
- Ability to work additional hours as needed
- Successful completion of FINRA background screening and ongoing regulatory requirements
- 4+ years of securities industry experience focused on buy-ins, fails management, and domestic and international trade settlement
- Advanced knowledge of DTCC SMART/Track, Omgeo OASYS, Settlement Web, and FINRA regulations and processes
- Working knowledge of Broadridge GLOSS, Impact, and BPS platforms
- Understanding of domestic buy-in rules and market practices across DTC, Federal Reserve, and physical securities clearance environments
- Working knowledge of international buy-in and settlement processes involving Euroclear, Clearstream, CREST, and other global market infrastructures
- Experience supporting Prime Broker Operations and related post-trade functions
- Proficiency in Microsoft Excel, including PivotTables, VLOOKUP/XLOOKUP, SUMIFS, and data analysis tools
- Basic proficiency in Microsoft PowerPoint for presentations and reporting materials
- Strong attention to detail, organizational skills, and ability to manage multiple priorities
- Excellent verbal and written communication and cross-functional collaboration skills
Wells Fargo Compensation & Benefits Highlights
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Retirement Support — Retirement support is anchored by a dollar‑for‑dollar 401(k) match on employee contributions after one year of service, with an additional non‑matching company contribution for some lower‑paid employees. Access to an employee stock purchase plan further expands long‑term savings opportunities.
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Parental & Family Support — Family supports include up to 16 weeks of paid parental leave available from the first day of employment, plus paid critical‑caregiving leave and extensive backup care options. Fertility, adoption, and surrogacy programs are highlighted with meaningful coverage and reimbursements, including a combined lifetime maximum up to $35,000 for eligible expenses.
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Healthcare Strength — Health coverage is comprehensive from day one, spanning medical, dental, vision, mental health, prescriptions, and preventive care often fully covered in‑network. Employer cost‑sharing is emphasized alongside no‑cost counseling through the EAP within plan limits.
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The Company
What We Do
Wells Fargo & Company (NYSE: WFC) is a leading financial services company that has approximately $2.2 trillion in assets. We provide a diversified set of banking, investment and mortgage products and services, as well as consumer and commercial finance, through our four reportable operating segments: Consumer Banking and Lending, Commercial Banking, Corporate and Investment Banking, and Wealth & Investment Management. Wells Fargo ranked No. 33 on Fortune’s 2025 rankings of America’s largest corporations. Our technology professionals drive innovation, information security, and big data analytics while maintaining a network that handles more than 12 billion customer interactions a year. Join us! Are you looking for more? Find it here. At Wells Fargo, we're more than a financial services leader – we’re a global trailblazer committed to driving innovation, empowering communities, and helping our customers succeed. We believe that a meaningful career is much more than just a job – it’s about finding all of the elements to help you thrive, in one place. Living the Well Life means you’re supported in life, not just work. It means having robust benefits, competitive compensation, and programs designed to help you find work-life balance and well-being. You’ll be rewarded for investing in your community, celebrated for being your authentic self, and empowered to grow. And we’re recognized for it — Wells Fargo continues to rank on the LinkedIn Top Companies lists of best workplaces “to grow your career.” 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. © 2026 Wells Fargo Bank, N.A. All rights reserved. Member FDIC.
Why Work With Us
We're known for our “Well Life” approach to supporting employees’ career aspirations, work-life balance, and mental and physical health. Wells Fargo continues to rank on the LinkedIn Top Companies lists of best workplaces “to grow your career.”
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Wells Fargo Offices
Hybrid Workspace
Employees engage in a combination of remote and on-site work.
Typical time on-site:
3 days a week
