Capital Markets Middle Office Associate - Equity Middle Office

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Capital Markets Middle Office Associate - Equity Middle Office

Investment Banking

About this role:

Wells Fargo is seeking a Capital Markets Middle Office Associate within the Equity Middle Office team as a part of Corporate Investment Banking Operations. Learn more about the career areas and business divisions at wellsfargojobs.com.

This role is responsible for providing daily operational and control support to Equity and Derivatives trading desks, serving as a key link between Front Office Trading, Sales, Operations, Finance, Risk Management, and Compliance teams to ensure accurate trade capture, maintenance, and lifecycle management, while monitoring trading activity, resolving trade and system discrepancies, supporting portfolio events, and mitigating operational risk.

In this role, you will:

• Monitor daily trading activity and investigate, resolve, and escalate trade capture discrepancies, booking issues, settlement exceptions, and inter-system breaks

• Support trade lifecycle events, including amendments, resets, maturities, corporate actions, and other portfolio maintenance activities

• Perform daily reconciliations and control processes to validate trade populations, positions, and settlements

• Analyze trade activity and operational metrics to identify risks, issues, and opportunities for process improvement

• Communicate operational breaks and control exceptions to trading desks and partner teams, facilitating timely resolution

• Collaborate with Trading, Sales, Operations, Finance, Risk, Compliance, and Technology teams to support business operations and strategic initiatives

• Support process improvement efforts, system enhancements, and business change initiatives focused on strengthening controls and reducing operational risk

• Ensure adherence to established policies, procedures, and regulatory requirements while completing ad hoc analysis and reporting requests

Required Qualifications:

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

Desired Qualifications:

• Experience in Capital Markets, Middle Office, Trade Support, Operations, or a related financial services environment

• Experience supporting equities, equity swaps, structured products, listed derivatives, or OTC derivatives

• Basic understanding of financial markets, trading products, and trade lifecycle processes

• Familiarity with trade capture, booking, reconciliation, and settlement activities

• Understanding of operational risk, controls, and process improvement concepts

• Exposure to project, business change, or continuous improvement initiatives

• Proficiency in Microsoft Excel and other Microsoft Office applications

• Ability to work independently and collaboratively across teams managing multiple priorities in a fast-paced environment

• Strong analytical, problem-solving, and attention-to-detail skills

• Effective verbal and written communication skills

• FINRA Series 7, 63, or 99 (Preferred)

Job Expectations:

• Ability to work a hybrid schedule

• Willingness to work on-site at stated location on the job opening

• Ability to work additional hours as needed

• This position is not eligible for Visa sponsorship

Posting Location:

• 550 S Tryon St, Charlotte, NC 28202

This 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.

Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.

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.

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.

Benefits

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement

Posting End Date:

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

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.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.