Senior Institutional Investment Operations Representative

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.