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About this role:

Wells Fargo is seeking a Lead Capital Markets Middle Office Specialist for the Syndicate Middle Office Group as part of Corporate Investment Banking (CIB) Operations division. Learn more about our career areas and lines of business at wellsfargojobs.com.

Syndicate Middle Office is responsible for monitoring daily trading activity, reconciling and investigating any discrepancies and trade settlement issues, and acting as a desk liaison for various internal groups on all new issue activity. The new analyst will assist the Corporate, Preferred, High Yield, and ABF syndicate desks with these responsibilities while having to provide outstanding service. Details of the responsibilities will include; drafting new issue pricing emails, creating and maintaining new issue data in IPREO, sending all requests for security setup to Bloomberg and Product Support, report all eligible new issues to FINRA, coordinating with Syndicate Operation to ensure they have all necessary information, including deal term sheets, pricing supplements, base documents, and deal economics, creating ad hoc desk/management reporting, and handling inquiries from internal/external clients.

In this role, you will:

• Lead and implement complex initiatives of profit and loss generation and attribution
• Participate in cross functional planning Capital Markets Middle Office
• Review and analyze complex products that require in-depth evaluation of multiple factors including intangibles or unprecedented factors
• Review, research and resolve trade issues
• Facilitate resolutions for complex trade related issues
• Collaborate and consult with peers, colleagues and senior managers to resolve trade issues
• Serve as a subject matter expert and mentor analysts

Required Qualifications:

• 5+ years of Capital Markets industry experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• A BS/BA degree or higher
• Intermediate Microsoft Office skills
• Excellent verbal, written, and interpersonal communication skills
• Effective organizational, multi-tasking, and prioritizing skills
• Knowledge and understanding of audit, regulatory compliance, or risk management
• Knowledge and understanding of compliance risk in the financial services industry
• Ability to communicate effectively, in both written and verbal formats, with senior executive-level leaders
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
• Ability to manage process improvement initiatives to optimize operational effectiveness and efficiencies
• Ability to identify key issues, involve affected parties, design solutions, obtain buy-in, and communicate effectively through resolution
• Ability to consolidate large amounts of project status information to identify key risks, customer impact, financial implications, delays, and issues that pose material risk
• Ability to identify and evaluate exposures and potential risks
• Ability to synthesize complex analytical findings into executive level communications
• 5+ years of experience in operational risk management processes and/or compliance and/or audit programs (preferably in anti-money laundering)
• Understanding of key operational risk components, including experience driving consistency and quality across all aspects of a risk function
• Ability to understand and work with data, including creating alignment among various data sources, developing trends, and creating risk-based analytics from multiple information sources

Primary Posting Location:

• 550 S Tryon St, Charlotte, North Carolina 28202

Job Expectations:

• This position offers a hybrid work schedule at the posted locations listed.
• Relocation assistance is not available for this position.
• Visa Sponsorship 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 incidents.

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.

Posting End Date:

*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.