Wells Fargo is seeking an Institutional Investment Operations Specialist. This role supports the oversight and control of Non-Financial Regulatory Reporting (NFRR) by importing, maintaining, analyzing, and reporting data for assigned areas of Non-Financial Regulatory Reporting (NFRR) using multiple databases and business intelligence tools. For assigned areas of NFRR, this analyst will prepare and distribute daily monitoring reports, research problems and requirements, track resolutions, maintain Confluence sites describing the program, and use JIRA to track and report program activities and results.
In this role, you will:
- Reviewing FINRA Trade Reporting and Compliance Engine (TRACE) 6760 and 6730 submissions and ensure the data submitted is accurate as per reporting rules.
- Reviewing Securities lending transactions reported to FINRA and resubmit upon FINRA rejections.
- Monitoring performance of non-financial regulatory reporting through data analysis and reconcilements.
- Working with Middle Office teams to understand and correct errors and late reporting.
- Identifying opportunities to improve productivity in the data management and reporting processes.
- Collaborating with partners in Technology and Middle Office in identifying, assessing, escalating and resolving problems.
- Testing of technology changes affecting systems instrumental in assigned areas of NFRR.
- Reviewing and understanding of relevant regulatory technical standards, rules, and regulations.
- Creating and maintaining review and testing templates for multiple kinds of NFRR based on policy and regulatory requirements.
- Conducting analysis as part of an intake process for new NFRR that come into scope for the team.
- Presenting and maintaining program information and reporting in Confluence and Jira.
- Outreach and collaboration with other NFRR Analysts and support partners in Compliance and Technology to maintain program information.
- Assignment, scheduling, tracking, and reporting of the program control activities and projects.
- Working with others to build and test new reporting and controls
Required Qualifications:
- 6+ years of Institutional Investment Operations experience
- University degree including coursework in financial markets
- Experience in capital markets operations or compliance surveillance or control with derivatives, foreign exchange and securities.
- Experience in developing automation solutions with Alteryx and/or Xceptor
- Experience in data management, import/export, analysis and manipulation using Excel, Tableau, PowerBI, or similar tools for analysis and graphs.
- Experience of working with FINRA Gateway and Trade Reporting and Compliance Engine (TRACE).
- Experience of working with SFTR (Securities Financing Transactions Regulation).
- Good Knowledge on FINRA TRACE 6760 and 6730 rules.
- Experience in understanding Prospectus and Term sheet.
- Motivated learner and researcher with solid writing and presentation skills
Desired Qualifications:
- Education or experience with EMEA/US securities and commodities regulations and compliance.
- Training or experience in business intelligence tools, workflow tools, data schema, and or data vocabularies.
- Administrator, or advanced user, experience with Atlassian Confluence and Jira
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Wells Fargo & Company (NYSE: WFC) is a leading financial services company that has approximately $2.1 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 once again ranked in the top three – making us the #1 financial services employer – on the 2025 LinkedIn Top Companies list of best workplaces “to grow your career” in the U.S. 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.
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