Institutional Investment Operations Manager - Customer Protection and Asset Transfers
- Manage and develop team of individual contributors working on complex issues
- Oversee daily controls related to client protection and the firm's adherence to possession or control obligations under SEA rule 15C3-3
- Ensure proper segregation of client assets and 17a-13 rule adherence.
- Manage asset transfer team and processing, partnering with Prime and Safekeeping business to meet client demand and
- Identify and recommend opportunities for process improvement and risk control development
- Collaborate with all business partners and various departments, create efficiencies and mitigate risk for team and organization
- Resolve complex issues and processes within CIB Operations
- Make decisions and resolve issues regarding resources, objectives and operations of functional area and team to meet business objectives
- Interpret and develop policies and procedures for functions with low to moderate complexity
- Collaborate and influence all levels of professionals including more experienced managers
- Lead team to achieve objectives and strategy
- Manage allocation of people and financial resources for Institutional Investment Operations group
- Mentor and guide talent development of direct reports and assist in hiring talent
- 5+ years of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- 2+ years of Leadership experience
- FINRA series 99/7 or must be willing to obtain within 90 days
- Knowledge of SEA rule 15C3-3 and customer protection reconciliations performed by Broker Dealers
- Working knowledge of Prime Brokerage, Stock Loan and Tri-Party operations
- Experience processing in Broadridge applications such as BPS, Gloss and Impact
- Strong knowledge and understanding of the capital markets operations business and/or accounting background with knowledge of reconciliation
- Ability to work a hybrid schedule, three (3) days in office and two (2) days remote; posted location 1525 W. W T Harris Blvd, Charlotte, NC
- This position is not eligible for Visa sponsorship
- Relocation assistance not available for this position
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 incident Posting End Date:
22 Apr 2026
*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 . Drug and Alcohol Policy Wells Fargo maintains a drug free workplace. Please see our 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.
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