Institutional Investment Operations Associate

About this role:
Wells Fargo is seeking an Institutional Investment Operations Associate within Corporate Investment Banking (CIB) Operations Client Data & Onboarding on the Regulatory Due Diligence (RDD) team. The role is responsible for reviewing and remediating regulatory documentation and providing a variety of support services in account management, documentation, and customer service.
In this role, you will:

• Accurately review and remediate regulatory documentation, which includes, but is not limited to Dodd Frank, QFC Resolution Stay, EMIR, MiFID II and various legal notices covering swaps and trades for various lines of business. Wells Fargo is seeking an Institutional Investment Operations Associate within CIB Operations Client Data & Onboarding on the Regulatory Due Diligence (RDD) team. The role is responsible for reviewing and remediating regulatory documentation and providing a variety of support services in account management, documentation, and customer service.
• Technical aptitude to update systems accurately with extraordinary attention to detail.
• Ability to recognize inaccuracies with regulatory documentation, and the ability to remediate inconsistencies with legal, compliance, sales and the customer.
• May be tasked with leading projects for new regulatory requirements, facilitating workflows, writing procedures and providing team trainings.
• Ability to draft presentations to include data analysis and advance excel skills.
• Assist with special projects and gathering data to assist with resolution of issues in areas that may normally be outside of daily responsibilities.
• Provide operational and customer support for lifecycle tasks for institutional trades.
• Assist in gathering data to support resolution of issues.
• Receive direction from manager and exercise judgment within defined parameters of the area while developing understanding of various functions, policies and procedures.
• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals.

Required Qualifications:

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

Desired Qualifications:

• Candidates should have an understanding of the Dodd-Frank Act, finance terms and act as a risk control mitigator.
• Proficiency with client onboarding & account management systems, specifically COBAM.
• Strong attention to detail and accuracy skills.
• Effective organizational, multi-tasking, and prioritizing skills
• Excellent communication skills, both written and verbal, to articulate complex concepts in a clear manner.
• Proven and demonstrated leadership skills including relationship building, partnering and collaboration with a diverse group of key business partners/stakeholders (Sales, Legal, Compliance, 3rd party) including senior management.
• Intermediate proficiency in Microsoft Office suite, especially Excel and PowerPoint.

Job Expectations:

• This position offers a hybrid work schedule of 3 days in office / 2 days from home at 550 S Tryon St, CHARLOTTE, NC 28202.
• Work hours: 9:00AM - 5:00PM
• Relocation assistance is not available for this position.
• Visa Sponsorship not available for this position.

Posting End Date:
6 Nov 2025
*Job posting may come down early due to volume of applicants.
We Value Equal Opportunity
Wells Fargo is an equal opportunity employer. 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.
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 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 .
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Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
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b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.