Securities Operations Specialist - Client Reporting

Wells Fargo Bank•Minneapolis, MN

23h•Hybrid

About The Position

Wells Fargo is seeking a Securities Operations Specialist to join their Client Reporting team. This role is responsible for executing and auditing client communications, including statements, trade confirmations, prospectus mailings, and ad hoc client correspondence. The ideal candidate will bring a strong operational mindset, a commitment to accuracy, and a collaborative approach to process improvement. In this role, you will perform quality control and audit reviews of client statements, trade confirmations, and prospectus mailings to ensure regulatory and procedural compliance. You will also coordinate and execute ad hoc mailings, monitor and reconcile prospectus activity, maintain documentation and records for all mailings, support process improvement initiatives, and collaborate with internal stakeholders to ensure timely and accurate delivery of client communications. Additionally, you will participate in internal audits, low to moderately complex lifecycle support initiatives, and present recommendations for resolving issues. You will also research business risks, contribute to policies, enhance customer satisfaction, and perform analysis for initiatives that support business strategies.

Requirements

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

Nice To Haves

2+ years of experience in client reporting operations or related functions (e.g., statement processing, regulatory mailings).
Strong attention to detail and ability to manage multiple priorities in a deadline-driven environment.
Proficiency in Microsoft Excel, Word, and Outlook; experience with workflow tools and document repositories.
Familiarity with regulatory requirements related to client communications (e.g., SEC, FINRA).
Experience with Broadridge systems or similar third-party mailing platforms.
Exposure to audit processes and quality control frameworks.
Bachelor’s degree in business, Finance, or related field.
Series 7 or other FINRA License holder.

Responsibilities

Perform quality control and audit reviews of client statements, trade confirmations, and prospectus mailings to ensure regulatory and procedural compliance.
Coordinate and execute ad hoc mailings, including Quick Turn Letters (QTLs), fiscal summaries, and 401(b) letters, in partnership with business owners and third-party vendors.
Monitor and reconcile prospectus activity, including suppression logic, unfulfilled obligations, and file transmissions to/from Broadridge.
Maintain documentation and records for all mailings in accordance with supervisory procedures and audit requirements.
Support process improvement initiatives and contribute to the development and maintenance of standard operating procedures (SOPs).
Collaborate with internal stakeholders (e.g., Compliance, Legal, Technology) to ensure timely and accurate delivery of client communications.
Participate in internal audits and provide documentation and responses as needed.
Participate in low to moderately complex lifecycle support initiatives and identify opportunity for process improvements within Securities Operations.
Review and analyze basic or tactical functional operational tasks or challenges that require research, evaluation, and selection of alternatives; exercise independent judgment related to low-to-medium risk deliverables.
Present recommendations for resolving low to moderately complex situations related to a full process within a trade environment while developing understanding of function, policies, procedures, and compliance requirements.
Provide information to, collaborate, and consult with peers, colleagues and managers, including internal and external customers, to resolve issues and achieve goals.
Resolve low to moderately complex escalated issues within the scope of responsibility in Security Operations.
Research low to moderately complex business risks, provide input into policies, enhance customer satisfaction, and review time sensitive documents and transaction requests.
Contribute and may 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.