Senior Institutional Investment Operations Specialist - Approval to Transact Team

Wells Fargo is seeking a Senior Institutional Investment Operations Specialist to join the Approval to Transact team as part of the Corporate Investment Banking (CIB) Securities Shared Services Operations (Shared Services) organization, a cross-functional group of teams supporting CIB as well as the broader Wells Fargo organization.
The Approval to Transact (A2T) senior specialist is expected to:

• Problem solve trade violations of certain Regulatory Programs by leveraging internal system and teams to discover fact patterns to determine remediation Manage Perform sample checks transaction and clients are compliant with regulation and internal policies/requirement/procedures.
• Identify patterns in Regulatory Programs and update the Compliance Stats to prevent more research/ outreach
• Track Violations and escalate and work with various Operational teams on resolution - Coordinate with groups to publish and highlight true violations - Streamline the Track Do Not Trade List and coordinate within Ops to remove trade links - provide meaningful subject matter expertise, understand internal/external rules/requirements/SLAs
• Steward A2T touchpoints with upstream/horizontal/downstream stakeholders such as legal, client onboarding, reference data, financial crimes, agreement management, regulatory reporting, technology, and new products - identify and remediate (legacy or new) issues, gaps, risks, data quality and technology deficiencies; be resourceful and proactive with solutions
• Establish and maintain strong relationships with Legal, Credit, Compliance, Financial Crimes, Operations, Business, and other internal stakeholders. Manage monthly metrics and newsletters for our stakeholder's.

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

Desired Qualifications:

• 4+ years of capital markets industry experience
• 4+ years of experience in one or a combination of the following: securitization accounting, collateral servicing, financial reporting for securitizations, Regulation AB compliance or daily reconciliations of cash for securitized assets.
• 4+ years of experience in the following Regulatory Programs:
  • OTC derivatives-based regulations (such as Dodd-Frank, Emir, Margin rules)
  • SEC/Finra/MSRB regulations with onboarding touchpoints (such as those governing, suitability, approvals, transparency, privacy, and disclosures)
  • Mifid and HKMA onboarding requirements
  • KYC (AML/BSA, Fincen, Travel rule)
  • Tax Documentation (Fatca, CRS)
  • QFC Resolution Stay and Recordkeeping
• Extensive knowledge and understanding of loan, securities, and derivative products (front to back flow of exchange traded derivatives)
• Ability to lead projects/initiatives with high risk and complexity
• Intermediate Microsoft Office skills including proficiency with PowerPoint presentation
• Microsoft Excel spreadsheets experience importing, exporting, and manipulating large data
• Excellent verbal, written, and interpersonal communication skills
• Effective organizational, multi-tasking, and prioritizing skills
• Ability to work in a fast-paced deadline driven environment
• Ability to articulate issues, risks, and proposed solutions to various levels of staff and management
• Ability to effectively assess stakeholder, partner, or client needs while consulting, building solutions, and developing processes
• Strong analytical skills with high attention to detail and accuracy
• Ability to effectively assess stakeholder, partner, or client needs while consulting, building solutions, and developing processes
• Knowledge and understanding of roles of operations, compliance, client account set-up processes and procedures for corporations and public entities
• Strong collaboration and partnering skills
• Ability to coordinate completion of multiple tasks and meet aggressive time frames
• Ability to interact with all levels of an organization
• Experience building partnerships and consulting effectively with leadership

Job Expectations:

• Ability to work additional hours as needed, regular work hours 8AM - 5PM.
• Work at the posted location below on a hybrid schedule of three (3) days in office and two (2) days from home.
• Office location: 550 S Tryon St, CHARLOTTE, NC 28202

Pay Range
Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.
$77,000.00 - $121,000.00
Benefits
Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement

Posting End Date:
5 Feb 2026
* 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.
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.