Securities Operations Specialist

Wells Fargo & Company•St. Louis, MO

2d•Hybrid

About The Position

Wells Fargo is seeking a Securities Operations Specialist to join the Account Transfers team within Wealth and Investment Management Operations. The team works with financial advisors, branch personnel, internal business groups, counterparties, custodians, and market utilities to support accurate and timely movement of client assets through ACAT and Non-ACAT transfer processes. The specialist manages assigned transfer activities of low to moderate complexity, applies established policies and procedures, researches exceptions, and coordinates resolution with business partners. The role supports operational controls, service expectations, risk identification, and process improvement and modernization initiatives. The position follows a hybrid schedule of three days in the office and two days remote at the posted St. Louis location, and may require additional hours as needed. The position is not eligible for visa sponsorship.

Requirements

At least 2 years of Securities Operations experience, or equivalent demonstrated through work experience, training, military experience, or education.
Ability to interpret and consistently apply policies, procedures, controls, and service-level requirements.
Ability to prioritize multiple work items, conduct research, document decisions, and escalate risk appropriately.
Strong analytical, problem-solving, attention-to-detail, written, and verbal communication skills.
Ability to partner effectively across operations, risk, compliance, technology, business teams, and external counterparties.
Intermediate Microsoft Office skills, including Excel, Outlook, PowerPoint, and Word.
Ability to work a hybrid schedule: three days in office and two days remote at the posted location.
Ability to work additional hours as needed.

Nice To Haves

Experience supporting incoming and/or outgoing ACAT and Non-ACAT account transfers, asset movement, or related brokerage operations.
Working knowledge of ACATS processing, transfer documentation, account registration, asset eligibility, transfer restrictions, and exception management.
Experience reviewing time-sensitive requests and resolving NIGO items, rejected transfers, aged cases, position differences, or other operational exceptions.
Experience with BETA, Advisor Gateway, DTCC/ACATS, or comparable securities-processing and workflow platforms.
Excellent communication skills and ability to partner across operations, technology, and business teams.

Responsibilities

Review, process, and monitor assigned incoming and outgoing ACAT and Non-ACAT transfer requests from initiation through completion.
Review transfer documentation, account registration, asset details, delivery instructions, and supporting records for accuracy, completeness, and good order.
Research and resolve transfer exceptions, rejected requests, NIGO conditions, aged items, position discrepancies, and other processing issues within established procedures and authority.
Apply account transfer policies, procedures, controls, service-level expectations, and regulatory requirements when making routine processing decisions.
Use independent judgment to assess information, choose an appropriate course of action, and escalate matters outside assigned authority or involving elevated risk.
Communicate with financial advisors, branch personnel, internal operations teams, counterparties, and custodians to obtain information, resolve issues, and advance transfers.
Maintain accurate records, case notes, system updates, and supporting documentation in accordance with retention and control requirements.
Monitor workflow queues, transfer aging, service-level commitments, and daily production priorities, taking timely action to prevent delays or client impact.
Identify recurring defects, control gaps, and opportunities to reduce manual effort, improve quality, strengthen risk management, and enhance client and employee experience.
Recommend and provide subject-matter input for procedural updates, testing, automation, and other Account Transfers initiatives.
Participate in implementing processes, controls, systems, and business initiatives in coordination with operations, risk, compliance, technology, and business partners.
Share knowledge with peers, support consistent execution of procedures, and answer routine process questions within the assigned area.