Senior Securities Operations Specialist - Wealth Services

About this role:

Wells Fargo is seeking a Senior Securities Operations Specialist as part of the Advisory Manager Liaison and Reconciliation Team within Wealth and Investment Management Operations. This team supports advisory programs, financial consultant and portfolio managers for Wells Fargo brokerage and wealth services. Learn more about our career areas and lines of business at wellsfargojobs.com.

The Senior Specialist will be a support for the team's processes to assist with work as a liaison and perform system reconciliation functions between internal systems and other operational support services for the supported partners. You will also lead and assist with projects and process improvements and your role will be critical for the expansion of the advisory and mutual fund process across WIM Ops.

In this role, you will:

• Lead moderately complex lifecycle initiatives and support tasks, including those that are cross-functional with broad impact, and act as key a participant in large-scale planning and deliverables; identify opportunity for process improvements within End to End Advisory and Mutual Fund
• Review and analyze moderately complex multi-faceted, larger scale or longer-term operational tasks or challenges that require an in-depth evaluation of multiple factors including intangibles or unprecedented factors such as creation and setup of models, accounts, and testing for accuracy
• Make decisions in complex and multi-faceted situations related to a full process within a trade environment while leveraging solid understanding of the function, policies, procedures, and compliance requirements that influence or lead team to meet deliverables and drive new initiatives
• Strategically collaborate and consult with peers, colleagues and mid-level to senior managers to resolve issues and achieve goals; may lead projects, teams or serve as a mentor for data-driven execution
• Manage and 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 complex escalated issues within the scope of responsibility in Security Operations; drive efficiency and risk reduction
• Research complex business risks, develop policies, enhance customer satisfaction, and improve automation/simplification of operational flow
• Exercise independent judgment in understanding trade settlement and influence workflow controls to minimalize the effects of operational breakdowns
• Lead overall effectiveness of the team according to plans; monitor daily securities and cash related production work
• 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

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+ years of Brokerage or Wealth Management experience
• 4+ years experience with Data Collection and Reporting related to Managed Accounts and Model Support
• 4+ years of Project Management experience
• Strong analytical skills with high attention to detail and accuracy
• Knowledge and understanding of InvestCloud and Refinitiv software packages
• Excellent verbal, written, and interpersonal communication skills
• Ability to work independently, proactively, innovatively, and creatively while exercising sound judgment
• Experience meeting high production and quality standards
• Ability to process transactions and perform research to resolve customer issues
• Experience importing, exporting, and manipulating data using Microsoft Excel
• Ability to track and monitor project progress, identify project and process gaps, recommend controls and communicate progress to senior business leaders
• Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important

Job Expectations:

• Ability to work additional hours and different shifts as needed
• Must be able to work at location listed on posting
• This position is not eligible for Visa Sponsorship

Posting Locations:

• Charlotte, North Carolina

Posting End Date:

24 Apr 2025
*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.