About this role:

Wells Fargo is seeking a Senior Securities Operations Specialist as part of the Trade Support Team within Wealth and Investment Management Operations. This group provides support for key back-office and field facing functions for our field staff and clients. The Trade Support team also supplies support to Wells Fargo's Financial Advisors with the processing of Equity, Fixed Income, Options and Unit Investment Trusts (UIT's) from the entry of the order to the settlement of the customer activity.

The Senior Specialist will be driving segments and performance of key business functions for Fixed Income/Equity/UIT Trading Services, Regulatory Reporting, Purchase and Sales Comparisons and Trade Corrections. Operational support will be within the brokerage firm across multiple sites, domestically and internationally.

In this role, you will:

• Lead or participate in moderately complex lifecycle initiatives and support tasks and act as a participant in large-scale planning and deliverables; identify opportunity for process improvements within Securities Operations

• Review and analyze moderately complex operational tasks or challenges that require an in-depth evaluation of variable factors

• Independently resolve moderately complex issues on a full process within a trade environment while leveraging solid understanding of the function, policies, procedures, and compliance requirements; may lead team to meet deliverables

• Collaborate and consult with peers, colleagues and mid-level managers to resolve issues and achieve goals; may lead projects, teams or serve as a mentor for lower level staff

• Manage 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 moderately complex escalated issues within the scope of responsibility in Security Operations

• Research moderately complex business risks, influence 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

• Contribute to overall effectiveness of the team according to plans; monitor daily securities and cash related production work

• Lead or contribute to implementation of projects and 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

Required Qualifications:

• 4+ years of Securities Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• 4+ year of Trade Processing operations experience

• 4+ years of testing or quality assurance experience

• Demonstrated experience identifying and presenting processes/operational enhancements

• Ability to prepare and present at team meetings, to all levels of the organization

• Ability to organize and present analysis in a holistic manner for management decisions

• Ability to research and report on a variety of issues using problem solving skills

• Excellent verbal, written and interpersonal communication skills

• Advanced Microsoft Office (Word, Excel, Outlook and PowerPoint) skills.

Posting End Date:

21 Sep 2024

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

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

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.

Candidates applying to job openings posted in US: 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.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

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.

Company: WELLS FARGO BANK

Req Number: R-400396

Updated: Tue Sep 17 01:04:54 UTC 2024

Location: SAINT LOUIS,Missouri