Securities Operations Specialist

Wells Fargo•Charlotte, NC

2d•Hybrid

About The Position

Wells Fargo is seeking a Securities Operations Specialist within the Brokerage Portfolio Implementation team as part of WIM (Wealth and Investment Management) Operations division. This team supports the Personalized UMA (Unified Managed Accounts) Multi-Sleeve Advisory Program, providing oversight, request handling and overlay trading for 70,000+ client accounts. The team is responsible for implementing and maintaining model-driven portfolios at scale, ensuring that client accounts are aligned to investment strategies. As a specialist in this group, you will serve as a critical control point between portfolio strategy, trading execution, and operational oversight.

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 Brokerage Operations experience including portfolio implementation and trade processing
2+ years of Brokerage Customer Service experience
Exposure to Wells Fargo managed account systems such as: APL, Beta and Smart Station
Ability to navigate multiple computer systems, applications, and utilize search tools to find information
Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment
Strong analytical skills with high attention to detail and accuracy
Experience importing, exporting, and manipulating data using Microsoft Excel
Excellent verbal, written, and interpersonal communication skills
Intermediate Microsoft Excel skills

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 onboarding, funding, deposits, withdrawals, terminations, and tax-driven events such as harvesting and raise-cash requests
Investigate and resolve trade, reconciliation, and processing issues, partnering across operations, technology, and trading teams to ensure accurate and timely resolution
Research low to moderately complex business risks, provide input into policies, enhance customer satisfaction, and review time sensitive documents and transaction requests
Maintain strong focus on controls, risk mitigation, and compliance, supporting accurate execution and adherence to regulatory and firm standards
Drive operational efficiency and process improvement, identifying opportunities to streamline workflows, reduce risk, and enhance scalability within the UMA platform
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