Securities Operations Specialist

Wells Fargo•Charlotte, NC

2d•Hybrid

About The Position

Wells Fargo is seeking a Securities Operations Specialist as part of Account Opening and Maintenance team within Wealth and Investment Management. The Account Opening and Maintenance (AOM) team is responsible for supporting Financial Advisors and their staff with account opening and maintenance questions. The team effectively support our clients by responding to high volume incoming inquiries, reviewing new account documentation for good orders and research, and resolving complex client onboarding questions. The Specialist will support production capacity across Account Opening, Account Maintenance, and Account Restrictions by processing daily work, researching and resolving complex escalations, and handling higher-risk account restriction requests that impact trading and client transactions. The role also provides priority support for new Financial Advisors, completes time-sensitive control reporting, and supports testing and implementation activities.

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+ year of experience supporting account opening and maintenance
2+ years of experience working with brokerage/trust account (SmartStation, BETA, SEI) systems
Demonstrated knowledge of system access requests, creating and reviewing entitlements and roles requirements
Ability to identify risk factors and implement appropriate controls
Experience analyzing metrics and articulating data trends
Ability to interact with all levels of an organization, including management
Experience meeting high production and quality standards
Able to execute in a fast‑paced, high‑demand environment while balancing multiple priorities
Ability to consult and build solid working relationships across teams
Excellent verbal, written, and interpersonal communication skills
Advanced Microsoft Office 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 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