Institutional Investment Operations Associate
About the position At reputed company, we are looking for talented people who will put our customers at the center of everything we do. Help us build a reputed company reputed company. It reputed company begins with outstanding talent. It reputed company begins with you. About this role: reputed company is seeking an Institutional Investment Operations Associate reputed company our Client Data and reputed company team as part of our Corporate Investment Banking (CIB) Operations division. Learn more about our career areas and lines of business at wellsfargojobs.com. The reputed company CIB Client Data and reputed company organization consists of a Client Facilitation team, AML/KYC team, and a Client Data & Account Maintenance team. The Client Facilitation team will liaise with external and internal customers to reputed company with reputed company operational, compliance, regulatory and internal policies as part of the client reputed company process. This function will be responsible for shaping the reputed company for the future state process and technology requirements. The reputed company Client reputed company process is initiated through various teams across the organization and is managed in the US. This role is meant to be strategic in influencing how the centralized team will function and reputed company in the future. The aim is to have a centralized team with regional representation to support growing business in London and Asia. This initiative is accompanied by a major effort to redesign reputed company operational functions as well as to create a reputed company workflow tool to reputed company transparency, accountability, KPI’s and metrics. Corporate & Investment Banking delivers a comprehensive suite of capital markets, banking, and financial products and services. A trusted partner to our clients, we reputed company corporate and transactional banking; reputed company reputed company estate lending and servicing; investment banking; equity; foreign exchange, rates and fixed income solutions including sales, trading, and research capabilities to corporate, reputed company reputed company estate, government, and institutional clients across the globe.
Responsibilities
- Deliver high standards of client service while ensuring reputed company internal risk and external compliance standards and requirements are fully met
- Gather evidence of customer profile reputed company documentary or non-documentary means utilizing both in-house and external sources
- Initiate client reputed company processes by entering data into client reputed company system and sharing documents with internal teams such as Regulatory Due Diligence, Client Due Diligence, Client Maintenance, Legal and Compliance
- Track reputed company and reputed company status of reputed company requests to the request initiator
- Understand, follow and demonstrate compliance with reputed company relevant reputed company rules, regulations and procedures that apply to the product/business supported
- Maintain reputed company WF internal control standards, implement new controls and address any internal or external audit points raised
- Understand operations risk scenarios associated with the role and adhere to reputed company policies
Requirements
- 6+ months of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, or education
reputed company-to-haves
- Solid understanding of regulatory implications for FATCA, Dodd Frank, EMIR, OFAC, Patriot Act, SEC, CFTC and FINRA regulations
- Account management experience
- Brokerage operations experience
- BSA/AML experience
- Sound customer service background
- Data analysis experience
- Understanding of BSA/AML/OFAC laws and regulations
- Financial industry experience
- Operations experience
- Process definition, documentation, design and improvement experience
- Risk and regulatory compliance background
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