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At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

About this role:

Wells Fargo is seeking an Institutional Investment Operations Associate within our Client Data and Onboarding 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 Wells Fargo CIB Client Data and Onboarding 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 comply with all operational, compliance, regulatory and internal policies as part of the client onboarding process. This function will be responsible for shaping the vision for the future state process and technology requirements. The current Client Onboarding 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 perform 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 current operational functions as well as to create a unified workflow tool to provide transparency, accountability, KPI’s and metrics.

In this role, you will:

+ Deliver high standards of client service while ensuring all internal risk and external compliance standards and requirements are fully met

+ Gather evidence of customer profile via documentary or non-documentary means utilizing both in-house and external sources

+ Initiate client onboarding processes by entering data into client onboarding system and sharing documents with internal teams such as Regulatory Due Diligence, Client Due Diligence, Client Maintenance, Legal and Compliance

+ Track progress and provide status of onboarding requests to the request initiator

+ Understand, follow and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the product/business supported

+ Maintain all 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 all policies

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, or education

Desired Qualifications:

+ 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

Primary Posting Location:

+ 550 S. Tryon Street, Charlotte, North Carolina 28202

Job Expectations:

+ Ability to work on-site in stated location in compliance with our hybrid schedule

+ This position is not eligible for Visa sponsorship

**Corporate & Investment Banking** delivers a comprehensive suite of capital markets, banking, and financial products and services. A trusted partner to our clients, we provide corporate and transactional banking; commercial real estate lending and servicing; investment banking; equity; foreign exchange, rates and fixed income solutions including sales, trading, and research capabilities to corporate, commercial real estate, government, and institutional clients across the globe.

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.

Posting End Date:

9 Jun 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 (https://www.wellsfargojobs.com/en/diversity/disability-inclusion/) .

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy (https://www.wellsfargojobs.com/en/wells-fargo-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.

**Req Number:** R-459599