About this role:
Wells Fargo is seeking a Senior Lead Institutional Investment Operations Specialist... In this role, you will:
- Lead the team - Staff Management, Team Meetings, Regular 1 to 1's, Mid Year / Year End Reviews
- Understand core AML / BSA risk and incorporating best practices.
- Work closely with the EMEA Client Onboarding team and facilitate new clients and periodic reviews.
- Review and validate customer information to ensure adherence to Customer Identification Program (CIP), Customer Due Diligence (CDD), and Enhanced Due Diligence (EDD) requirements.
- Partner with WFS and corporate stakeholders to enable efficient and transparent front to end processing.
- Provide AML guidance and escalation to LOB stakeholders for complex accounts and relationships.
- Participate in change initiatives which promote overall process efficiency and effectiveness including changes to operating processes, procedures, and systems to keep a global consistency in service offering
- Drive consistency of AML operational practices and procedures
- Update procedures related to BSA / AML program.
- Document process improvements and creating / managing action plans.
- Support the implementation and monitoring of a risk-based compliance program to assure compliance with federal, state, legal, and regulatory requirements.
- Participate in projects and initiatives to identify, assess, and mitigate BSA/AML risk in business activities Understand core onboarding processes and incorporating best practices.
- Lead change initiatives which promote overall process efficiency and effectiveness including changes to operating processes, procedures, and systems to keep a global consistency in service offering
- Work with Risk & Control and Internal Audit partners to review processes and controls
- Updating team procedures related to all team processed
- Proven experience working within Client Onboarding / Facilitation across various product lines
- Technical understanding of transaction lifecycle across various product lines
- Experience in understanding legal documents required for onboarding clients
- Effective Communicator with experience in stakeholder management
- Management Information (MI) Experience with strong Excel/Powerpoint desired
- Strong Risk & Control mindset, ability to highlight and mitigate risk
- In-depth knowledge of global regulatory landscape
- Proven experience with external Institutional Client communications and interaction
- Strong data analysis experience
- Experience working in a demanding fast- paced financial institution,
- Proven ability to work across global and functional boundaries to build credibility and strong relationships.
- Experience compiling metrics, customer profiles and maintaining SLA's preferred
- Excellent inter-personal and presentation skills
We Value Diversity
- Educated to an A-level or Degree standard.
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, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
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.