Securities Operations Manager - Account Opening and Maintenance

Wells Fargo & Company•Charlotte, NC

1d•Hybrid

About The Position

Wells Fargo is seeking a Securities Operations Manager as part of Account Opening and Maintenance team within Wealth and Investment Management. The Operations Manager will be managing an onshore and offshore team that supports account opening and maintenance for the end client. Learn more about our career areas and lines of business at wellsfargojobs.com.

Requirements

5+ years of Securities Operations experience, or equivalent experience demonstrated through one or a combination of the following: work experience, training, military experience, education
2+ years of leadership experience
Registration for FINRA SIE and Series 99 must be completed within 120 days of hire date if it is not available for transfer upon hire
Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position
Ability to work hybrid in-office schedule, additional hours and shifts as needed

Nice To Haves

4+ years of experience working with brokerage/trust account (SmartStation, BETA, SEI) systems
2+ year of experience supporting account opening and maintenance
Experience working with financial DataFeeds, including data validation and exception handling
Proven organizational, multi-tasking, and prioritizing skills, as well as the ability to influence and negotiate
Proven analytical and problem-solving skills, along with the ability to work independently and/or as a member of a high-performance team against aggressive deadlines
Ability to motivate staff to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
Ability to interact with all levels of an organization, including management
Excellent verbal, written, and interpersonal communication skills
Leadership skills including coaching, training, and mentoring
Advanced Microsoft Office skills

Responsibilities

Manage a team of specialists in transactional tasks ensuring quality and compliance in securities operations
Provide support for being a first point of contact for all delivery tasks and escalations
Identify opportunities for process improvement and risk control development
Ensure team consistently meets delivery expectations and resolve issues related to reporting, career path and related activities for direct reports
Collaborate and influence all levels of professionals including more experienced managers
Lead team to achieve objectives
Manage allocation of people and financial resources for securities operations
Develop and guide a culture of talent development to meet business objectives and strategy
Provide accountability for the development of operational strategy and may serve on line of business project teams
Develop the operational infrastructure on financial accounting, tax reporting and client services
Perform specific duties including accurate financial reporting of funds, sourcing of proprietary fund vendors, and ensuring operational due diligence of external investment managers
Identify opportunities for process improvement and risk control development
Ensure effective operational due diligence of external investment managers
Manage administration of third party distribution of alternative investments through wealth and brokerage divisions
Make decisions and resolve issues regarding company wide tasks that steer the company's operational direction
Develop policies and procedures for functions with low to moderate complexity within scope of responsibility
Collaborate and influence all levels of professionals including managers
Lead team to achieve objectives
Manage allocation of people and financial resources for securities operations
Mentor and guide talent development of direct reports and assist in hiring talent

Benefits

Equal Opportunity Employer
Focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture
Accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance)
Follow and adhere to applicable Wells Fargo policies and procedures
Appropriately fulfilling risk and compliance obligations
Timely and effective escalation and remediation of issues
Making sound risk decisions
Emphasis on proactive monitoring, governance, risk identification and escalation
Making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements
Accommodation for applicants with disabilities is available upon request in connection with the recruitment process
Drug free workplace