• Job Description

  Req#: R-296264

  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.

  About this role:

  Wells Fargo is seeking a Consolidated Audit Trail (CAT) Operations Manager within CIB Operations as part of Corporate Investment Banking.

  
  In this role, you will:

  • Advise leadership to develop or influence complex objectives, processes, industry related regulations, and long-term goals for highly complex business needs across CIB Markets and Operations.

  • Lead in one of the following securities client and trade lifecycle processes or related industry regulations: Client Onboarding, Trading, Sales,, Broker Dealer Operations, Order management, Securities and Options Transaction Processing, Consolidated Audit Trail Reporting and Correction, Management of Regulatory Reporting functions.

  • Documentation related functions (Quality Assurance, Digitization, Data Management, Project Management and Data Integrity Strategy)

  • Consult as a SME in current regulations (CAT, Equity Transaction Reporting, Trade Processing) or one of the leading industry systems related to the support functions (Broadridge, FIS.)

  • Develop and implement resolutions to the most complex issues as they arise within the client and trade lifecycle

  • Deliver solutions and coordination of highly complex activities

  • Lead industry related initiatives

  • Provide vision, direction and expertise to more experienced leadership

  • Implement innovative and significant business solutions

  • Strategically engage with all levels of professionals and managers companywide

  • Partner with Front Office Sales and Trading, Market Risk, Technology, Compliance, Finance, Operational Risk, Audit, HR and other support functions

  • Work closely with regulators, external vendors and consulting firms to participate in the design, build, testing and remediation phases of complex related issues

  
  Required Qualifications, US:

  • 7+ 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:

  • Two years of direct experience implementing or operating CAT reporting

  • Experience resolving CAT reporting errors with partners in trading technology

  • Experience developing risk and control programs for regulatory reporting

  • Expertise in developing and executing controls and analytics to identify errors and non-compliance

  • Develop and implement organizational and technology change to improve automation and control of CAT reporting and issue management

  • Lead teams formed to resolve CAT reporting errors

  • Develop team members to analyze and resolve CAT reporting errors

  • Ensure CAT errors are tracked and resolved

  • Engage with Risk, Control, and Technology partners about CAT risks, controls, errors, and corrective actions.

  • Excellent verbal, written, and interpersonal communication skills

  • Effective organizational, multi-tasking, and prioritizing skills

  • Ability to navigate multiple computer systems, applications, and utilize search tools to find information

  • Strong attention to detail and accuracy skills

  
  Job Expectations:

  • Registration for FINRA Series 7 or 57 and Series 24 examinations, or equivalent must be completed within 180 days of hire date, depending upon the number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted.

  • For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required.

  This role may be located at either of the following locations:

  • Duke Energy Center, 550 S Tryon St, Charlotte, NC

  • 30 Hudson Yards, 500 W 33rd St, New York, NY

  • NY – New York City, Pay Range: $115,900 - $206,100 Annually

  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.

  Pay Range

  $96,600.00 - $171,800.00 Annual

  Benefits

  Wells Fargo provides all eligible full- and part-time employees with a comprehensive set of benefits designed to protect their physical and financial health and to help them make the most of their financial future. Visit Benefits - Wells Fargo Careers for an overview of the following benefit plans and programs offered to employees.

  • 401(k) Plan
  • Paid Time Off
  • Parental Leave
  • Critical Caregiving Leave
  • Discounts and Savings
  • Health Benefits
  • Commuter Benefits
  • Tuition Reimbursement
  • Scholarships for dependent children
  • Adoption Reimbursement

  We Value Diversity

  At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

  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 US: All qualified applicants will receive consideration for employment without regard to race, color, religion, age, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

  Drug and Alcohol Policy

  Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.

• About the company

  Wells Fargo & Company is an American multinational financial services company with corporate headquarters in San Francisco.

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