Securities Operation Associate

Wells Fargo & Company•Charlotte, NC

1d•Hybrid

About The Position

Wells Fargo is seeking a Securities Operations Associate 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.

Requirements

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

Nice To Haves

Strong attention to detail and accuracy skills
Strong documentation skills
Ability to read, analyze, and interpret documents/reports
Ability to navigate multiple computer systems, applications, and utilize search tools to find information
Experience supporting securities operations, brokerage operations, wealth management operations, or related financial services functions
Knowledge of securities transactions, trade support, settlement, reconciliation, account servicing, asset movement, and transaction processing activities
Demonstrated analytical and problem-solving skills, with demonstrated success identifying operational issues, resolving exceptions, and making sound risk-based decisions
Knowledge of operational risk, controls, regulatory requirements, and compliance standards.
Experience with securities processing systems, brokerage platforms, Microsoft Excel, and other tools to support transaction processing, reporting, and reconciliation activities
Ability to manage multiple priorities in a high-volume environment while maintaining accuracy, attention to detail, quality standards, and service expectations
Customer service and relationship management skills, with experience collaborating across teams, supporting customer transactions, and partnering effectively with internal stakeholders

Responsibilities

Participate in low complexity lifecycle support tasks and help identify opportunities for process improvements within Securities Operations
Review basic or tactical issues, policies or procedures for which answers can be quickly obtained, related to low-risk tasks and deliverables with narrower impact
Receive direction from manager and exercise judgment within defined parameters related to resolving situations on a full process within a trade environment, while developing understanding of various functions, policies, and procedures
Provide information to, collaborate, and consult with peers, colleagues and managers, including internal and external customers, to resolve issues and achieve goals
Build expertise in operational processes including client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, and general ledger reconciliation
Assist in gathering data to support resolution of issues; review and analyze functional operational tasks that require research and evaluation
Resolve low complexity escalated issues within the scope of responsibility in Security Operations
Research low complexity business risks, provide input into policies, enhance customer satisfaction, and review time sensitive documents and transaction requests
Support overall effectiveness of the team according to plans; monitor daily securities and cash related production work
Contribute to implementation of projects, new or revised processes, and procedures that require coordination among operation teams and may perform analysis for initiatives that support business strategies