Institutional Investment Operations Manager
Wells Fargo · Bengaluru · onsite · Posted 62d ago
Undisclosed11–13 yrsfulltimeSourced from
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About this role
Department Overview
Governance and Oversight (GO) is responsible for managing risk and controls within the Corporate Investment Banking (CIB Wholesale) group. This is achieved through three key pillars: Risk and Control Management, Process Reviews/Control Testing, and Compliance Supervisory Mandates (aligned with FINRA, SEC, and CFTC requirements). The function supports business decision-making related to audits, regulations, and control assurance.
About the Role This role requires experience in Capital Markets (Corporate Investment Banking CIB). The individual will be responsible for executing Governance and Oversight (GO) programs such as the Self-Inspection Program (SIP), compliance mandates, weekly WFS Operations metrics, monthly global risk governance, and Information Security controls across business units.
Each GO pillar is led by a global owner accountable for outcomes, standards, and prioritization. Regional teams support execution, ensuring global consistency, reducing silos across regions and service lines, improving accountability, and enabling scalable governance across CIB Operation.
Responsibilities - Design and execute initiatives to manage emerging and ongoing risks within a regulated environment
- Manage the global Book of Work, ensuring alignment across the US, UK, and India
- Partner with the GO Global Lead to drive new and existing risk and control initiatives
- Engage with business stakeholders, Compliance, Business Control Management, and senior leadership to resolve complex issues
- Monitor governance across CIB Operations globally and support leadership with data-driven insights on risk, compliance, and controls
- Organize and facilitate walkthroughs (Process Risk Reviews) across CIB Operations teams to perform:
- Process gap analysis
- Control testing
- Metric mapping
- Identification of Key Risk Indicators (KRIs)
- Ongoing monitoring
- Apply knowledge of key risk and control frameworks including RCSA, Incident Management, Issue Management, and Control Testing Validation
- Collaborate with global and regional stakeholders on control testing, incident reporting, and risk reviews
- Build and maintain strong cross-functional and cross-regional partnerships through effective collaboration
- Work closely with stakeholders across the US, EMEA, and India
- Manage assignment, scheduling, tracking, and reporting of control activities and governance program.
- Bachelors degree with coursework in Financial Markets or related fields
- 1113 years of relevant experience
- Experience in Capital Markets Operations, Compliance Surveillance, or Controls within Corporate Investment Banking
- Strong knowledge of derivatives, foreign exchange (FX), equities, and fixed income products
- Hands-on experience in trade lifecycle processes, including static data, confirmations, settlements, reconciliations, and investigations
- Proven expertise in Operational Risk Management, including Incident Management, Issue Management, Control Testing, and RCSA
- Strong understanding of control testing methodologies, including scripting, execution, and reporting to senior leadership
- Familiarity with brokerage/broker-dealer operations
- Excellent communication skills with proficiency in English
- Flexibility to work in global shifts (including night shifts)
- Professional certifications in Operations Risk or Investment Banking (e.g., PRMIA ORM, CISI, FINRA Series 7, 22, 24, 99)
- Experience or training in business intelligence tools, workflow tools, data schemas, and data vocabularies.
Sourced from naukri
Skills
AutomationdealerauditsBusiness ControlAnalyticsBankingCapital MarketsEquitiesControl TestingControl ManagementBrokerageDealer OperationsCommunication SkillscomplianceCustomer RelationshipsBusiness Intelligence
About Wells Fargo
Wells Fargo
Financial Services
20k+
employees
1852
174 years old
Bengaluru/Bangalore, Karnataka
India
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Wells Fargo works to create positive social impact in the communities it serves by supporting housing affordability, small business growth, financial health, and a low-carbon economy.
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