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Pre Trade Monitoring and Guideline Intake Analyst

Employer
Wells Fargo
Location
Menomonee Falls
Salary
Competitive

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Job Description

Important 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.

Wealth & Investment Management, or WIM, is one of the United States' leading providers of financial and investment services. WIM provides a full range of personalized wealth management, investment, and retirement products and services to meet clients' unique needs and help them achieve financial goals. Our mission is to help clients pursue their financial goals with confidence. We accomplish this by:

  • Building enduring client relationships through sound, thoughtful, and objective advice
  • Developing individualized plans for clients to help meet their financial objectives
  • Helping clients build, manage, preserve, and transition their financial resources and wealth

WIM serves clients through the following businesses:

  • Wells Fargo Private Bank serves high-net-worth individuals and families.
  • Wells Fargo Advisors provides investment advice and guidance to clients through more than 13,200 full-service financial advisors and referrals from more than 5,450 licensed bankers.
  • Wells Fargo Asset Management brings together a strategic balance of investment capabilities to serve the investment needs of institutions, financial advisors, and individuals worldwide.

Through Wells Fargo Private Bank, WIM is also a leading provider of trust, investment, and fiduciary services, including personal trust services and a number of specialized wealth services designed to meet the diverse needs of high-net-worth clients.

Wells Fargo Asset Management:
Wells Fargo Asset Management (WFAM) strives to help investors achieve their financial goals through investment solutions managed by specialized investment teams and backed by collaborative service. WFAM's investment approach centers on autonomous investment teams that maintain their own independent research, idea-generation, and decision-making processes. Its independent investment risk management approach provides a consistent, unbiased framework for analyzing and balancing risk in portfolios. WFAM offers the expertise of over 29 investment teams-each focused on specialized, niche portfolio management strategies-that attempt to meet the diverse needs of our investors.

The Business Initiatives Consultant 2 - Pre Trade Monitoring and Guideline Intake is part of the Regulatory Operations and Administration group. This team is the first line of defense in error and investment guideline breach prevention and works closely with internal partners in Investments, Product, Compliance and Legal to ensure the integrity of function and the technology that supports the function. The selected professional will leverage his/her deep investment compliance monitoring and coding experience to drive efficiency and a sound control framework. This will include playing a critical role in transformational activities such as transitioning to one core compliance engine, building out of a regulatory reporting framework and contributing to the successful build out of the responsibilities of the team.

The Position:

Responsibilities include, but are not limited to:

  • Provide initial review, interpretation and setup, as well as ongoing maintenance of all client, regulatory and prospectus guidelines and account investment restrictions (i.e. Prospectuses, Statement of Additional Information, Private Placement Memorandums, etc.) to ensure all restrictions are coded accurately, effectively, and optimally in Charles River IMS and Bloomberg AIM/CMGR
  • Effectively assist in portfolio compliance related initiatives covering business transitions, new and changing regulatory requirements and technology related upgrades in support of our business partners
  • Partner with Portfolio Management, Trading, Relationship Managers, and Compliance to review, interpret, design, and implement client mandates and regulatory regulations
  • Work with the firm's Information Technology group to optimize the compliance system and automate compliance processes;
  • Ensure that effective controls are in place to meet federal laws and regulations and provide training, advice and education on how to comply with regulatory requirements
  • Contribute to the development of strategies to improve the experience of both internal and external clients and make the business more efficient and effective


Required Qualifications

  • 6+ years of experience in one or a combination of the following: project management, implementation, or strategic planning
  • 6+ years of brokerage operations or compliance experience



Desired Qualifications

  • Strong analytical skills with high attention to detail and accuracy
  • Ability to work in a fast paced deadline driven environment
  • Ability to develop partnerships and collaborate with other business and functional areas
  • Strong time management skills and ability to meet deadlines
  • Excellent verbal, written, and interpersonal communication skills
  • Advanced Microsoft Office skills
  • A BS/BA degree or higher in accounting, finance, or economics



Other Desired Qualifications
  • 8+ years of investment/portfolio compliance
  • 10+ years financial services experience, preferably in Investment Compliance or Operations
  • Strong planning, process management and execution abilities
  • Asset management industry experience including experience working closely with investment professionals
  • Strong knowledge of equity, fixed income and derivative instruments
  • Experience with Institutional client guidelines and investment policies
  • Strong knowledge of Charles River, and or Bloomberg CMGR
  • Knowledge of 1940 Act, CA 81-102 and UCITs requirements
  • Proven ability to manage and mitigate risk and make sound decisions
  • Ability to drive change toward continuous improvement and excellence
  • Thoughtful and decisive style with strong ability negotiate critical issue resolution


Disclaimer

    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 Summary

Benefits

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