Lead Institutional Investment Operations Specialist

Job Description

About this role:Wells Fargo is seeking a Lead Institutional Investment Operations Specialist... In this role, you will:

• Executing control assessments across EMEA CIB Operations. Perform ad-hoc control analysis for teams as required
• Understanding risks and control gaps across the platform and identifying trends. This requires a working knowledge of processes and products across Capital Markets Operations
• Assist CIB Operations in creating a culture of timely and transparent escalation and communication
• Recommending best practice and control remediation for Capital Markets products, process and external risks, including enhancements to existing or new controls to further mitigate risk, including leadership for related projects and remediation work
• Partnering with senior business leaders both in and out of the organisation to evaluate the control environment
• Issuing report outs with analyses of the current control environment. Developing and producing reporting and presentations for senior management that clearly illustrate the current state of risks and controls in the department, as well as the potentialcost and/or opportunity for remediation
• Serving as a control consultant for the operations team as issues arise or new processes are implemented

Required Qualifications, US:

• 5+ years of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Required Qualifications, International:

• The candidate should possess 7+ years of Capital Markets Operations experience, 5+ years either in a Risk organisation (Audit, Compliance, Operational Risk) or responsible for being a key contributor in operational risk processes within a Capital MarketsOperations organisation. This experience should include the identification and assessment of controls and a solid understanding of the trade life cycle across multiple asset classes. Strong candidates will possess superior verbal and written communicationskills and attention to detail. Individual should be proficient in the controls required to effectively mitigate risk in capital markets operations, as well as relevant regulatory rules and requirements. Candidate should be a strategic problem solver withthe ability to work effectively in a flexible, demanding, fast-paced, dynamic environment, handling multiple tasks and projects concurrently, while maintaining the highest standard of excellence. Candidate must have ability to influence and negotiate effectivelyat all levels, challenging the status quo while maintaining relationships with business partners.

Preferred Qualifications:

• Proven ability in the testing and assessment of controls
• Experience implementing risk management programmes
• Strong Excel, PowerPoint, Visio, Project and SharePoint skills
• Working knowledge of Capital Market Operations systems of record (Broadridge, GMI, Calypso, etc.)
• Very organised with the ability to self-prioritise workload
• Able to work independently or as part of a team
• Commitment and loyalty to the brand
• Attention to detail
• Experience with supporting the delivery of required regulatory changes projects or business initiatives in relation to CASS.
• An understanding of business processes and controls in relation to the CASS rule book
• Comprehensive & technical knowledge & understanding of CASS rules in relation to a Broker Dealer and Banking entities.
• A working & detailed knowledge/understanding of CASS rules and application and impact of Banking Exemption.
• Product knowledge of the Broker/Dealer business and Futures, Derivatives/Fixed Income and Equities spaces.
• Experience working with Operational Risk teams to identify all Operational Risk considerations in relation to CASS and related functions/processes.

Job Expectations:We Value DiversityAt 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, genderidentity, 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 accountablefor 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 complianceobligations, 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 thebusiness units 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 disabilitiesis available upon request in connection with the recruitment process.