CIB Broker Dealer Global Pre Settlements Analyst - Charlotte, United States - Wells Fargo

Description

**CIB Broker Dealer Global Pre Settlements Analyst**

Location: Charlotte, North Carolina **Job ID** R **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 units 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 units 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.

LocationEducation Level