Securities Operations Specialist at Wells Fargo in CHARLOTTE, NC

Job description

• Wells Fargo is seeking a Securities Operations Specialist as part of Account Opening and Maintenance team within Wealth and Investment Management. The Account Opening and Maintenance (AOM) team is responsible for supporting Financial Advisors and their staff with account opening and maintenance questions. The team effectively support our clients by responding to high volume incoming inquiries, reviewing new account documentation for good orders and research, and resolving complex client onboarding questions. Learn more about our career areas and lines of business at wellsfargojobs.com.
• The Specialist will support production capacity across Account Opening, Account Maintenance, and Account Restrictions by processing daily work, researching and resolving complex escalations, and handling higher-risk account restriction requests that impact trading and client transactions. The role also provides priority support for new Financial Advisors, completes time-sensitive control reporting, and supports testing and implementation activities.

Responsibilities

• Participate in low to moderately complex lifecycle support initiatives and identify opportunity for process improvements within Securities Operations
• Review and analyze basic or tactical functional operational tasks or challenges that require research, evaluation, and selection of alternatives; exercise independent judgment related to low-to-medium risk deliverables
• Present recommendations for resolving low to moderately complex situations related to a full process within a trade environment while developing understanding of function, policies, procedures, and compliance requirements
• Provide information to, collaborate, and consult with peers, colleagues and managers, including internal and external customers, to resolve issues and achieve goals
• Develop expertise in the following operational processes including client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, and general ledger reconciliation
• Resolve low to moderately complex escalated issues within the scope of responsibility in Security Operations
• Research low to moderately complex business risks, provide input into policies, enhance customer satisfaction, and review time sensitive documents and transaction requests
• Exercise independent judgment in understanding trade settlement workflow controls to minimalize the effects of operational breakdowns
• Support overall effectiveness of the team according to plans; monitor daily securities and cash related production work
• Contribute and may lead implementation of projects, new or revised processes, and procedures that require coordination among operation teams and perform analysis for initiatives that support business strategies making decisions on matters with financial impact and risk

Requirements

• 2+ years of Securities Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
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• 2+ year of experience supporting brokerage account opening and maintenance
• 2+ years of experience working with brokerage/trust account (SmartStation, BETA, SEI) systems
• Demonstrated experience supporting data feeds, file transmissions, and data exchange processes for Financial Advisors, third-party partners, and investment managers
• Experience researching and resolving data transmission, reconciliation, and reporting issues across multiple systems and reviewing data quality reviews
• Demonstrated knowledge of system access requests, creating and reviewing entitlements and roles requirements
• Ability to identify risk factors and implement appropriate controls
• Experience analyzing metrics and articulating data trends
• Ability to interact with all levels of an organization, including management
• Experience meeting high production and quality standards
• Able to execute in a fast‑paced, high‑demand environment while balancing multiple priorities
• Ability to consult and build solid working relationships across teams
• Excellent verbal, written, and interpersonal communication skills
• Advanced Microsoft Office skills

Skills

Required

• Securities Operations experience
• High production and quality standards
• Consultation and relationship building
• Advanced Microsoft Office skills