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Job Details

Senior Manager Capital Markets Corporate Actions - Military veterans preferred

Company name
Wells Fargo

Charlotte, NC

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Job Description WFS OperationsThe Corporate Actions/P&I Department is responsible for the timely and accurate allocation of funds and securities on mandatory and voluntary corporate events. The group is responsible for managing and controlling high levels of risk and liability inherent in the corporate event process. We must provide outstanding service and create an environment that maintains its focus on serving our clients while constantly looking for ways to improve efficiency. The group processes corporate actions, including name changes, forward/reverse splits, cash and stock mergers, tenders, merger elections, Dutch tenders, rights exercises, conversions, redemption's, P&I/dividend payments, etc. for all asset classes.The group works with external custodians to process allocations from our custodians to our clients. Other duties include the managing of communications with clients involving all corporate events including mandatory and voluntary offers, annual reports and proxies. The ideal candidate must be able to lead a diverse workforce managing extremely high risk functions and ensure we deliver on our service promise. The individual will be heavily involved in the specification, design and build out of our corporate actions processing capabilities.The successful candidate will be responsible for delivering on a multi-year transformational program across Asset Servicing. This includes the creation of an announcement utility and a pre-payment utility. Additionally, the leader of the team will be responsible for deploying a new strategic asset servicing workflow tool.The firm has expanded its custodial business to include Prime Brokerage customers. This business will grow meaningfully over the coming years. To support that growth, the candidate is required to create a support model for a growing complex stock record, provide leadership and coaching to their new team and leadership across our organisation. Effective execution will be critical for this candidate to be successful. They will report to the head of the broker dealer and represent the franchise within the industry and on customer visits. Location: 1525 WT Harris Blvd, Charlotte, NCThis position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents. Team members 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\u2019s risk appetite and all risk and compliance program requirements. Required Qualifications
7 years of capital markets industry experience
3 years of management experience
Desired Qualifications
Strong analytical skills with high attention to detail and accuracy
Extensive math skills
A BS/BA degree or higher
10 years of corporate actions experience
Knowledge and understanding of capital markets: assumption development or strategic asset allocation design
Knowledge and understanding of account takeover processes
Knowledge and understanding of international markets, borrowers, and investors
Knowledge and understanding of prime brokerage
Ability to lead projects/initiatives with high risk and complexity
Customer service focus with the ability to balance needs of clients, shareholders, and team members
Ability to effectively assess stakeholder, partner, or client needs while consulting, building solutions, and developing processes
Ability to identify risk factors and ensure enactment of appropriate controls
Ability to manage large direct and matrixed resources across multi-site locations
Experience leading an internationally based team
Strong vendor management skills
Experience monitoring the performance of others
2 years of experience with one or more of the following systems: Depository Trust Company (DTC), Bloomberg or Wisdom
Knowledge and understanding of Broadridge application
Experience creating reports in response to management, audit, or regulatory requirements
Experience developing and cultivating professional relationships
FINRA registration including one or more of the following: FINRA Series 7, FINRA Series 24, FINRA Series 14, or FINRA recognized equivalents
Job Expectations Registration for FINRA Series 7 must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted. 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.

Company info

Wells Fargo
Website :

Company Profile
Wells Fargo & Company provides retail, commercial, and corporate banking services to individuals, businesses, and institutions. The company’s Community Banking segment offers checking and market rate accounts, savings and time deposits, individual retirement accounts, and remittances; and lines of credit, auto floor plan lines, equity lines and loans, equipment and transportation loans, education and residential mortgage loans, and credit and debit cards. This segment also provides equipment leases, real estate and other commercial financing, small business administration financing, venture capital financing, cash management, payroll services, retirement plans, health savings accounts, and merchant payment processing and private label financing solutions, as well as purchases retail installment contracts. Its Wholesale Banking segment offers commercial loans and lines of credit, letters of credit, asset-based lending, equipment leasing, international trade facilities, trade financing, collection, foreign exchange, treasury management, investment management, institutional fixed-income sales, interest rate, commodity and equity risk management, insurance, corporate trust fiduciary and agency, and investment banking services, as well as online/electronic products. This segment also provides construction, and land acquisition and development loans; secured and unsecured lines of credit; interim financing arrangements; rehabilitation loans; affordable housing loans and letters of credit; loans for securitization; commercial real estate loan servicing; and real estate and mortgage brokerage services. The company’s Wealth, Brokerage, and Retirement segment offers financial advisory, wealth management, brokerage, retirement, trust, and reinsurance services. As of March 7, 2014, it operated through 9,000 locations and 12,000 ATMs, and offices in 36 countries, as well as through The Company was founded in 1852 and is headquartered in San Francisco, California.

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_ *WFS Operations*_ The Corporate Actions/P&I Department is responsible for the timely and accurate allocation of funds and securities on mandatory and voluntary corporate events. The group is responsible for managing and controll...
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