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Capital Markets Inst Ops Support Analyst 2

Company: Wells Fargo
Location: Charlotte
Posted on: November 22, 2021

Job Description:

Job DescriptionImportant Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as "Personal Cell" or "Cellular" in the contact information of your application.At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired.Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.The Chief Operating Office (COO) is responsible for delivering a more consistent approach to business operations across Wells Fargo, strengthening the company's risk and control infrastructure, and delivering effective and efficient enterprise services to employees and customers.The COO group includes the head of Operations, who is jointly responsible for line of business operations with each of the five LOB CEOs. Operations functions include contact center operations, client servicing support, money movements within our businesses, lending operations, and other functions.The COO group also includes a number of teams dedicated to strengthening Wells Fargo's risk and control infrastructure. These include the Control Executive team; Regulatory and Policy Affairs; Enterprise Customer Excellence; Sales Practices Oversight and Management; and Strategic Execution and Operations.The Chief Administrative Office, encompassing the Corporate Properties Group; Corporate Security; Enterprise Business Resiliency; Strategic Programs and Process Improvement; Enterprise Change Management; Supply Chain Management; and Data Management and Insights, delivers important services for our employees and customers.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; and fixed income solutions including sales, trading, and research capabilities to corporate, commercial real estate, government, and institutional clients across the globe.The Prime Brokerage Client Aligned Corporate Action Team is responsible for the timely and accurate allocation of funds and securities on mandatory and voluntary corporate events for the Equity Finance Line of Business. This position, as a part of a team, is responsible for managing and controlling high levels of risk and liability inherent in the corporate event process. We must provide outstanding service and create an environment that maintains its focus on serving our clients while constantly looking for ways to improve efficiency. The group serves as a client focused liaison for the LOB to the Corporate Action team that processes corporate actions, including name changes, forward splits, cash and stock mergers, tenders, merger elections, Dutch tenders, rights exercises, conversions, redemption's, P&I/dividend payments, etc.Other duties include the managing of communications with clients involving all corporate events including mandatory and voluntary offers, annual reports and proxies. This particular role centers around providing a Customer Service layer on top of the Corporate Actions team that will be responsible for communication with Equity Finance Account Executives and clients on a daily basis. This position will be a subject matter expert in the corporate actions space and handle Prime Brokerage / Equity Finance clients.***Job posting may be removed earlier than stated close date due to volume of applicants.If you are a Wells Fargo Team Member, in your Jobs Profile ensure that your email address is valid and updated to an address that can receive external emails outside of the banking network. Initial contact with you will be made via e-mail. Please check your e-mail regularly for updates. If you plan to be away from the office, update your contact information to include your personal email to ensure you do not miss communication through the selection process.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.May be considered for discretionary bonusRequired Qualifications

  • 2+ years of capital markets industry experience; or 2+ years of military experience; or a Master of Business Administration (MBA)
  • 1+ year of Corporate Actions experience in a Financial Services firm with a focus on servicing a Prime Brokerage / Equity Finance businessDesired Qualifications
    • Strong knowledge and understanding of loan, securities, and derivative products
    • Basic Microsoft Office skills
    • Excellent verbal, written, and interpersonal communication skills
    • Effective organizational, multi tasking, and prioritizing skills
    • Ability to work in a fast-paced deadline driven environment
    • FINRA registration including Series 7 (or FINRA recognized equivalents)
    • FINRA registration including Series 99 (or FINRA recognized equivalents)
    • Knowledge and understanding of Broadridge application
    • A BS/BA degree or higher in accounting, finance, or economics
    • Strong analytical skills with high attention to detail and accuracy
    • Ability to quickly learn business operations and processes
    • Customer service focus with the ability to listen to customer needs and recommend solutions
    • Ability to provide strong customer service while listening, eliciting information, and comprehending customer issues
    • Ability to work effectively, as well as independently, in a team environment
    • Ability to interact with all levels of an organization
    • Ability to navigate multiple computer systems, applications, and utilize search tools to find information
    • Ability to learn and assimilate information from multiple people and sources
    • Ability to provide strong customer service and develop customer relationships
    • Ability to develop and manage client relationships
    • Military intelligence or analytics experience including operational management, project management, mission evolution management and finance managementOther Desired Qualifications
      • Strong understanding of the terms and conditions of mandatory and voluntary offers and the process of communicating these to clients and internal interested parties (Subject Matter Expert)
      • 2+ years Investment Operations experience
      • Experience working with custodians, depositories, agents and brokers to ensure timely and accurate processing of events to client accounts and to appropriately manage risk
      • Solid understanding of U.S. and International, equity and interest rate markets
      • Comfortable with and able to manage complex trading systems and environments
      • Knowledge of or experience with TCS BANCS Corporate Actions System
      • Familiar with the regulatory environment and maintaining strong controls
      • Confidence dealing with both external and internal clients
      • Extensive knowledge and understanding of cash (domestic and international and physical securities (DTC) settlements)Job Expectations
        • Registration for FINRA Series 7 must be completed within 120 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
        • Registration for FINRA Series 99 must be completed within 120 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.Street AddressNC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NCDisclaimer
          All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.Relevant military experience is considered for veterans and transitioning service men and women.Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.Benefits SummaryBenefitsVisit https://www.wellsfargo.com/about/careers/benefits for benefits information.

Keywords: Wells Fargo, Charlotte , Capital Markets Inst Ops Support Analyst 2, Professions , Charlotte, North Carolina

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