Institutional Investment Operations Manager - Military Veterans

About this role:

Wells Fargo is seeking an Institutional Investment Operations Manager within the Client Data and Onboarding 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:

• Directly manage the onboarding flow partnering with sales and clients providing hands-on ownership of the process


• Partner with the Front Office and key business stakeholders to development business strategies and the implementation of strategic decisions targeted around the client experience


• Directly oversee a global team of individuals dedicated to the onboarding flow including recruiting efforts, performance reviews, career planning, and coaching activities


• Act as the primary point of contact for sales and clients to address escalations, onboarding initiatives, key client changes, etc.


• Establish the workflow regarding vendor utilities and integration within CIB Markets including client uplift into the utility


• Lead and create a strategy and framework to ensure scalable solutions for onboarding that will focus on all aspects of the onboarding and maintenance processes including negotiation, credit, account setup, offboarding and regulatory oversight


• Lead initiatives to streamline the client experience, meet regulatory requirements and improve efficiency


• Lead strategic initiatives to properly capture client preferences and design a framework to highlight inconsistencies and illogical situations for remediation across client populations


• Stand up governance forums, working groups, and regular meetings with key functional and business stakeholders to address client onboarding statuses, projects, prioritization


• Develop a strong understanding of technology applications and systems ensuring strategic delivery and process efficiency within the Onboarding workflow


• Cultivate an environment that supports diversity, inclusion and collaboration


• Ensure that appropriate level of control is maintained over business and operational activities and compliant with firm and regulatory policy


• Perform manager sign-offs of key regulatory deliverables and quality reviews

Required Qualifications:

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


• 2+ years of Leadership experience

Desired Qualifications:

• Prior experience partnering with Sales to develop, enhance, and streamline onboarding flows and account opening


• Proven leadership experience including strategic change within an organization


• Experience managing/partnering with offshore (non-U.S.) teams


• Experience identifying and driving process improvements in complex, institutional banking environment.


• Understanding of key operational risk components, including experience driving consistency and quality across all aspects of a risk function.


• Ability to understand and work with data, including creating alignment among various data sources, developing trends, and creating risk-based analytics from multiple information sources.


• Strong communication, negotiation, and collaboration skills, including the ability to negotiate with numerous parties and reach agreeable solutions.


• Prior success in working and communicating with senior level executives.


• Proven ability and experience in being able to look at the big picture across a risk program and implement successful strategy and solutions.


• Experience with managing a team of individuals conducting job evaluations, providing ongoing feedback, and outlining goals


• Strong organizational skills, attention to detail, and adherence to strict deadlines in a fast -paced environment.


• Strong risk management discipline and problem-solving skills


• Proven experience partnering with technology to write and approve business requirement documentation and implement change


• Excellent interpersonal and communication skills and experience in articulation of risks both verbally and in writing to various levels of staff and management.


• Strong knowledge and understanding within the Capital Markets Industry


• 4 year BS/BA degree or equivalent experience


• Series 99 FINRA license

Job Expectations:

• Ability to work a hybrid schedule


• Willingness to work on-site at stated location on the job opening


• This position is not eligible for Visa sponsorship

Posting Location:

• 550 S Tryon St, Charlotte, NC 28202

T his 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.

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:

10 Oct 2024
*Job posting may come down early due to volume of applicants.

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, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

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.