Securities Operations Associate

Wells Fargo & Company•Charlotte, NC

19h•Hybrid

About The Position

Wells Fargo is seeking a Securities Operations Associate within the Wealth & Investment Management Operation division. In this role, you will participate in low complexity lifecycle support tasks and help identify opportunities for process improvements within Securities Operations. You will 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. You will receive direction from a manager and exercise judgment within defined parameters related to resolving situations on a full process within a trade environment, while developing an understanding of various functions, policies, and procedures. You will build expertise in operational processes including Manual Opening, QPP, DVP (Delivery versus Payment) and other specialized account processes. You will assist in gathering data to support the resolution of issues; review and analyze functional operational tasks that require research and evaluation. You will resolve low complexity escalated issues within the scope of responsibility in Security Operations. You will research low complexity business risks, provide input into policies, enhance customer satisfaction, and review time-sensitive documents and transaction requests. You will support the overall effectiveness of the team according to plans and monitor daily account maintenance work and reports. You will contribute to the 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. This role supports Brokerage manual account opening and specialized accounts such as DVP, Trust Shadow Account Opening and Maintenance, CIP closure, and Qualified Pension Plans.

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

Customer service focus with experience handling complex transactions across multiple systems
Experience with opening Brokerage and Bank accounts and maintenance
Ability to educate and connect customer to technology and ability to communicate complete products
Ability to identify potential fraud/risky accounts and take appropriate action to prevent loss
Experience working with others on a team to meet customer needs
Experience fostering and developing strong customer relationships
Ability to build strong relationships with internal partners
Ability to follow policies, procedures, and regulations
Ability to interact with integrity and professionalism with customers and team members
Continued process improvement and product knowledge
Adherence to Wells Fargo risk management culture

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
Build expertise in operational processes including Manual Opening, QPP, DVP (Delivery versus Payment) and other specialized account processes.
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 account maintenance work and reports.
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
Supports Brokerage manual account opening and specialized accounts such as DVP, Trust Shadow Account Opening and Maintenance, CIP closure, and Qualified Pension Plans.