Senior Institutional Investment Operations Representative

Responsibilities

• Coordinate day-to-day activities for pre-trade and post-trade regulatory checks
• Analyze and maintain client documentation and regulatory reporting data as part of the onboarding process
• Research and analyze regulatory reporting requirements to ensure they are clearly communicated to business units
• Identify and escalate potential risks arising within the process to ensure data integrity
• Oversee business-as-usual (BAU) activities and identify opportunities for process enhancement
• Build and maintain strong working relationships with stakeholders in Sales, Compliance, and other onboarding teams
• Provide insightful analyses and reporting to senior leadership upon request

Requirements

• Bachelor's degree in Accounting, Finance, or a business-related field
• 2-4 years of experience in Operations or Financial Services, specifically in areas like AML/KYC, client onboarding, or regulatory oversight
• Strong knowledge of US regulations including FINRA, QFC, Dodd Frank Act (DFA), and MIFID II
• Proficiency in Microsoft Excel, PowerPoint, and Word
• Strong analytical, research, and problem-solving skills
• Ability to work effectively in a fast-paced, high-performance environment

Preferred Qualifications

• Extensive knowledge of capital markets products and industry trends
• Experience supporting Fixed Income and Equity Sales & Trading lines of business
• Advanced understanding of the client onboarding lifecycle
• Ability to communicate effectively at all organizational levels

About the Company

Wells Fargo is a leading global financial services company providing a diversified set of banking, investment, and mortgage products and services. With a presence in over 30 countries, we focus on helping customers improve earnings, manage risk, and develop opportunities in the global marketplace.