Securities Operations Specialist

Wells Fargo Bank•Charlotte, NC

3d•Hybrid

About The Position

Wells Fargo is seeking a Securities Operations Specialist as part of the IRA Asset Movement team within Wealth & Investment Management (WIM) Operations. This team is responsible for the accurate and timely processing of Individual Retirement Account (IRA) transactions, including contributions, distributions, transfers, conversions, and rollovers for brokerage clients. In this role, you will support critical client asset movement activities by reviewing, validating, and executing transactions while ensuring compliance with regulatory requirements and internal controls. You will partner closely with financial advisors, internal operations teams, and leadership to resolve issues, maintain service quality, and deliver a seamless client experience. This position plays a key role in safeguarding client assets through strong attention to detail and adherence to operational procedures.

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 IRA or Asset Movement operations experience
Ability to navigate multiple computer systems, applications, and utilize search tools to find information
Ability to work independently, proactively, innovatively, and creatively while exercising sound judgment
Ability to accurately process transactions and perform research to resolve escalated issues
Ability to track and monitor metrics, identify process gaps, recommend controls and communicate progress to business leaders
Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
Strong analytical skills with high attention to detail and accuracy
Excellent verbal, written, and interpersonal communication skills
Experience importing, exporting, and manipulating data using Microsoft Excel

Responsibilities

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
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 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
Exercise independent judgment in understanding trade settlement workflow controls to minimalize the effects of operational breakdowns
Support overall effectiveness of the team according to plans; monitor daily securities and cash related production work
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