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Wells Fargo Capital Markets Middle Office SR Manager in West Des Moines, Iowa

About this role:

This Leadership role responsible for ensuring the capital markets reconciliation process, including support of Wells Fargo registered broker dealers with a global team. This role creates and executes best practices to be utilized across the enterprise both within this team as well as providing insight and support to related processes elsewhere in the company. This leader will have teams in the US and offshore and is responsible for coordination and seamless processing across time zones and shifts. This leader should have extensive knowledge of both cleared and OTC equity products, Derivative Products (FX, Futs ,Options, Commodities, Swaps, Equity, Rates & CDS) and Fixed Income Products (FICC, bilateral etc.). The expertise should include, but not limited to, settlement, custody, margining, and collateralization. Extensive knowledge of FINRA regulations and how they apply to equity products will also be needed by a successful candidate. This position understands and ensures compliance is for supported areas are met and works with other stakeholders to implement key operations initiatives.

In this role, you will:

  • Manage and develop teams of individual contributors and managers with moderate complex work and risk

  • Engage and influence peers, stakeholders, internal partners, external clients affected by its outcomes

  • Identify and recommend opportunities for significant financial risk to the company

  • Manage complex operational and technical processes

  • Set strategy and actions for Capital Markets Middle Office team

  • Implement solutions across multiple functional teams

  • Lead internal and external audit requests

  • Engage and influence peers, stakeholders, internal partners, and external clients

  • Manage allocation of people and financial resources for Capital Markets Group

  • Develop and guide a culture of talent development to meet business objectives and strategy

Required Qualifications, US:

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

  • 3+ years of management experience

Desired Qualifications:

  • Knowledge and understanding of regulatory compliance requirements surrounding broker dealer roles and FINRA Rules

  • Project management methodology experience

  • Securities industry experience

  • Derivatives experience

  • Knowledge and understanding of mortgage banking and capital markets products used for hedging

  • Knowledge and understanding of mortgage industry and capital markets operations

  • Knowledge and understanding of audit, regulatory compliance, or risk management

  • Ability to develop partnerships and collaborate with other business and functional areas

  • Ability to work effectively, as well as independently, in a team environment

  • Excellent verbal, written, and interpersonal communication skills

  • Virtual leadership experience with ability to effectively drive results, provide feedback/direction, and manage and build relationships with leaders and team members in a geographically dispersed team environment

  • FINRA registration including Series 99 (or FINRA recognized equivalents)

  • Experience with SOX, COSO, and Audit coordination

  • Demonstrated ability to provide innovative ideas in process management/oversight

  • Capital Markets Operations experience

  • FINRA registration including Series 7 (or FINRA recognized equivalents)

  • FINRA registration including Series 27 (or FINRA recognized equivalents)

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, 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.


Req Number: R-200012-6

Updated: Mon Sep 19 17:01:49 UTC 2022

Location: West Des Moines,Iowa