About this role:

Wells Fargo is seeking a Lead Capital Markets Middle Office Specialist for the Equity Syndicate Middle Office group.

Equity Syndicate Middle Office is responsible for monitoring daily trading activity, reconciling/investigating any discrepancies and trade settlement issues, and act as a desk liaison for various internal groups on all new issue activity. The new analyst will assist the Equity Syndicate desk with these responsibilities while having to provide outstanding service. Details of the responsibilities will include; drafting new issue pricing emails, creating and maintaining new issue data in IPREO, sending all requests for security setup, report all eligible new issues to FINRA, coordinating with Syndicate Operation to ensure they have all necessary information, including deal term sheets, pricing supplements, base documents, and deal economics, creating ad hoc desk/mgmt. reporting, and handling inquiries from internal/external clients.

In this role, you will:

• Lead and implement complex initiatives of profit and loss generation and attribution

• Participate in cross functional planning Capital Markets Middle Office

• Review and analyze complex products that require in-depth evaluation of multiple factors including intangibles or unprecedented factors

• Review, research and resolve trade issues

• Facilitate resolutions for complex trade related issues

• Collaborate and consult with peers, colleagues and senior managers to resolve trade issues

• Serve as a subject matter expert and mentor analysts

Required Qualifications:

• 5+ 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:

• BS/BA degree

• Successfully completed FINRA Series 7, 63, 79, or 99 exams to qualify for immediate registration (or FINRA recognized equivalents)

• Experience supporting syndicated transaction

• Experience coordinating pre and post trade actives, managing order books and processing allocations

• Ability to collaborate with the syndicated desk, sales teams, operations to ensure seamless execution and compliance

• Strong analytical, verbal, and written communication skills.

• Knowledge and understanding of financial products

• Ability to react to change in a fast-paced trading environment and be deadline oriented and productive in high stress situations.

Primary Posting Location:

• 30 Hudson Yard, New York, NY

Job Expectations:

• This position offers a hybrid work schedule at the posted locations listed.

• Relocation assistance is not available for this position.

• Visa Sponsorship not available for this position.

• Registration for FINRA Series (one or more) 7, 63, 79, or 99 or must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance

• Registration for Securities Industry Essentials (SIE) exam must be completed within 90-days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted

• For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required

Corporate & Investment Banking delivers a comprehensive suite of capital markets, banking, and financial products and services. A trusted partner to our clients, we provide corporate and transactional banking; commercial real estate lending and servicing; investment banking; equity; foreign exchange, rates and fixed income solutions including sales, trading, and research capabilities to corporate, commercial real estate, government, and institutional clients across the globe.

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.

$115,900.00 - $206,100.00

Posting End Date:

19 Jul 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.