Senior Institutional Investment Operations Representative

Job Description

About this role:

Wells Fargo is seeking a Senior Institutional Investment Operations Represntative

In this role, you will:

• Perform a variety of operational tasks for complex institutional trades or process extensive knowledge of systems
• Provide ideas for improving or implementing processes
• Perform moderately complex duties such as processing, researching inquires, and reconciling transactions
• Review time sensitive documents
• Provide training or work direction to less experienced staff
• Support audit requirements within the process
• Address compliance and corporate governance issues for the department
• Lead or participate in projects
• Collaborate and consult with peers, colleagues, and managers to resolve issues and achieve goals
• Interact with internal and external customers as per prescribed process or procedure
• Identify and drive process re-engineering or transformation opportunities within the process
• Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements

Required Qualifications:

• 5+ 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:

• Individual contributor role focusing on performing evidence-based control evaluations by conducting various evidence gathering activities.
• Design, maintain and execute the control evaluation scripts, identify control deficiencies, document, and escalate potential issues to appropriate stakeholders.
• Validate & track action plans, escalate issues as required and document the control test artifacts and findings.
• Perform control evaluations for moderate to complex engagements, challenge status-quo and identify opportunities to add efficiencies or refining the existing processes.
• Engage and work with multiple stakeholders - front line business groups, risk program aligned functions and IRM teams for driving the objectives of risk and control programs.
• Instill and drive proactive risk culture, operational excellence, and efficiencies.
• Bachelor's degree or higher. Relevant certifications will be an advantage.
• Overall experience of 6+ years with 5 years of relevant experience in Financial Services industry and / or risk & control domains covering operational risk, controls testing / evaluation, compliance, internal audit, risk management etc.
• Experience in automation / advanced excel / reporting will be an advantage.
• General knowledge of industry standards and best practices around control evaluations / testing, internal audit, and risk management processes.
• Experience creating test questions or test scripts.
• Experience assessing control design and performance through testing, audit, or Risk Control Self-Assessment practices.
• Experience assessing processes, procedures and identifying controls.
• Experience in assessing risk, reviewing risk ratings, identifying control gaps, and determining the appropriate evaluation methodology.

Job Expectations:

• Bachelor's degree or higher. Relevant certifications will be an advantage.
• Overall experience of 8+ years with 5 years of relevant experience in Financial Services industry and / or risk & control domains covering operational risk, controls testing / evaluation, compliance, internal audit, risk management etc.
• Experience in automation / advanced excel / reporting will be an advantage.
• General knowledge of industry standards and best practices around control evaluations / testing, internal audit, and risk management processes.
• Experience creating test questions or test scripts.
• Experience assessing control design and performance through testing, audit, or Risk Control Self-Assessment practices.
• Experience assessing processes, procedures and identifying controls.
• Experience in assessing risk, reviewing risk ratings, identifying control gaps, and determining the appropriate evaluation methodology.
• Individual contributor role focusing on performing evidence-based control evaluations by conducting various evidence gathering activities.
• Design, maintain and execute the control evaluation scripts, identify control deficiencies, document, and escalate potential issues to appropriate stakeholders.
• Validate & track action plans, escalate issues as required and document the control test artifacts and findings.
• Perform control evaluations for moderate to complex engagements, challenge status-quo and identify opportunities to add efficiencies or refining the existing processes.
• Engage and work with multiple stakeholders - front line business groups, risk program aligned functions and IRM teams for driving the objectives of risk and control programs.
• Instill and drive proactive risk culture, operational excellence, and efficiencies

Posting End Date:

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.

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.

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Wells Fargo maintains a drug free workplace. Please see our to learn more.

Wells Fargo Recruitment and Hiring Requirements:

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2. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.