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CIB Broker Dealer Global Pre Settlements Analyst
Company: Wells Fargo
Location: Charlotte, NC
Employment Type: Full Time
Date Posted: 01/20/2022
Expire Date: 06/16/2022
Job Categories: Banking, Computers, Software, Customer Service and Call Center, Finance/Economics, Financial Services, Human Resources, Information Technology, Military, Sales, Executive Management, Research & Development, Writing/Authoring, Energy / Utilities
Job Description
CIB Broker Dealer Global Pre Settlements Analyst

About this role:

Wells Fargo is seeking a Senior Institutional Investment Operations Specialist...


In this role, you will:

  • Assist in lifecycle support for institutional trade flow
  • Manage client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, general ledger reconciliation, as well as, work to resolve confirmation and ISDA related issues
  • Lead or participate in moderately complex initiatives and deliverables
  • Contribute to large scale planning related to process, procedures and efficiencies with internal and industry related initiatives
  • Identify and recommend opportunities for process improvement and risk control development
  • Provide leadership to bring groups together to resolve multi-faceted complex issues
  • Serve as a leader on projects along with internal and industry related initiatives
  • 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
  • Lead team to meet functional area projects, and process deliverables
  • Leverage solid understanding of functions, policies, procedures and compliance requirements
  • Mentor and assist analysts
  • Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals


Required Qualifications, US:

  • 4+ 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:

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


Desired Qualifications:

  • Ability to interact with all levels of an organization; including senior leadership/management
  •  Intermediate Microsoft Office skills
  • Excellent verbal, written, and interpersonal communication skills
  • Understanding Broadridge products including but are not limited to Impact, GLOSS and BPS
  • Must have a good understanding of the trade lifecycle, capital markets products, industry trends, regulatory changes and industry-wide best practices. Proven ability to lead projects/initiatives supporting a variety of product areas with high risk and complexity
  • Familiar with the regulatory environment and maintaining strong controls
  • Proficient in Power Point and Excel as well as other Microsoft Office products (Word, Outlook, etc.)
  • Experience working with custodians, depositories, agents and brokers to ensure timely and accurate processing of events to client accounts and to appropriately manage risk
  • Possess Series 7 or 99 license
  • BS/BA degree
  • Ability to identify and implement change. Including process efficiencies, team re-alignment and offshore process management
  • Strong industry working relationships
  • Comprehensive financial products knowledge
  • MIS presentation and report writing experience
  • Ability to multitask in a fast paced environment with an attention to detail, organization and prioritization.
     


Job Expectations:

The role resides in the Domestic Pre-Settlements team within Corporate & Investment Banking Broker-Dealer Operations. The teams within Domestic Pre-Settlements include: Trade Support, Confirmation Affirmation Service Team, Purchase and Sales, and Global Processing. The role will interface directly with multiple business partners including Sales-Traders, Finance, Technology, Settlements, and other middle office groups. The group is accountable for managing and controlling high levels of risk and liability inherent within securities processing. It is imperative the team provide outstanding service and create an environment that maintains its focus on serving our clients and key business partners while constantly looking for ways to improve efficiency. This role is ideally suited to a candidate who enjoys working in a fast paced environment, managing conflicting priorities and has a desire to continuously enhance a process.
Team members 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 and if 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, or national origin.

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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