Capital Markets Middle Office Specialist

About this role:
Wells Fargo is seeking a Capital Markets Middle Office Specialist within the Non-Financial Regulatory Reporting team as a part of Corporate Investment Banking Operations. Learn more about the career areas and business divisions at wellsfargojobs.com .
This resource will be a part of a small global team who will monitor daily North American Broker Dealer non-financial regulatory reporting controls, i.e., TRACE, MSRB, Electronic Blue Sheet, and SEC Rule 606 reporting to identify errors, research root causes, initiate remediation, make corrections, and track resolutions.
In this role, you will:

• Responsible for operating new controls (i.e., nTier), managing exceptions and Jiras
• Contribute and participate in Working Groups and Governance Committees throughout the BD RRG space, namely, MSRB, TRACE, EBS, and 606
• Test and implement new technologies and assist in the implementation of data management standards
• Expand your understanding of trade processes and post trade regulatory reporting
• Participate in moderately complex initiatives and deliverables
• Assist leadership in bringing individual or teams together in order to resolve complex issues
• Identify and recommend opportunities for process improvement and risk control development
• Review and analyze complex functional and operational tasks that require in-depth evaluation
• Exercise independent judgment and resolution to guide the deliverable
• Resolve moderately complex issues
• Lead team to meet functional area projects, and process deliverables
• Leverage solid understanding of functions, policies, procedures, and compliance requirements
• Mentor and assist analysts
• Collaborate and consult with peers, colleagues, and managers to resolve issues and achieve goals

Required Qualifications:

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

Desired Qualifications:

• Knowledge of TRACE Reporting
• Knowledge of MSRB Reporting
• Knowledge of Electronic Blue Sheets Reporting
• Knowledge of SEC Rule 606
• Experience with transaction reporting
• Experience working with Technology in an agile environment
• Strong skillset in data analysis, critical thinking, and networking
• Demonstrated communication abilities
• BS/BA

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.
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 achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.
$28.85 - $43.75
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:
4 Nov 2025
* 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.