Job Description

About this role:Wells Fargo is seeking a Lead Institutional Investment Operations Specialist to join our Approval to Transact team as part of Corporate and Investment Banking (CIB) Operations group.As a Lead Institutional Investment Operations Specialist you will assume a leading role in implementation of new policies, regulations, technology, and onboarding initiatives - convert policies into procedures, processes and controls, working in partnership with compliance, legal, 1st and 2nd line control, COB, and other stakeholders - improve operational controls to ensure auditability, transparency, and consistency - benchmark internal requirements and processes against industry best practices - oversee governance for "approval to transact" violations - act as a central point of contact for all client onboarding related audits.In this role, you will:Problem solve trade violations of certain Regulatory Programs by leveraging internal system and teams to discover fact patterns to determine remediationManage and perform Quality Assurance sample checks transaction and clients are compliant with regulation and internal policies/requirement/ procedures.Track Violations and escalate and work with various Operational teams on resolutionIdentify patterns in Regulatory Programs and amend the existing process as needed to ensure constant regulatory compliance and operation efficiencyCoordinate with groups to publish and highlight true violations and streamline the Track Do Not Trade List and coordinate within Ops to remove trade linksSteward A2T touchpoints with upstream/horizontal/downstream stakeholders such as legal, client onboarding, reference data, financial crimes, agreement management, regulatory reporting, technology, and new productsFoster a collaborative, success-oriented team environment where resources are empowered and accountableLead projects for new regulatory requirements, facilitating workflows, writing procedures, and providing team trainingsIdentify and remediate (legacy or new) issues, gaps, risks, data quality and technology deficiencies; be resourceful and proactive with solutionsAssist with special projects and gathering data to assist with resolution of issues in areas that may normally be outside of daily responsibilitiesReview and analyze functional operational tasks that require research, evaluation, and exercise independent judgment to guide the deliverableEstablish and maintain strong relationships with Legal, Credit, Compliance, Financial Crimes, Operations, Business, and other internal stakeholders