Securities Operations Specialist

Wells Fargo Bank•St Louis, MO

12h•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 resolutions with business partners. The role supports operational controls, service expectations, risk identification, and process improvement and modernization initiatives. It also involves contributing to procedural updates, testing, automation, and the implementation of new or revised processes, controls, systems, and business initiatives.

Requirements

2+ years of Securities Operations experience, or equivalent demonstrated through one or a combination of work experience, training, military experience, or education.
Ability to work a hybrid schedule: three days in the office and two days remotely at the posted location.
Ability to work additional hours as needed.

Nice To Haves

Experience supporting outgoing and/or incoming 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.
Ability to interpret and consistently apply policies, procedures, controls, and service-level requirements.
Demonstrated 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.

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 status.
Research and resolve transfer exceptions, rejected requests, NIGO conditions, aged items, position discrepancies, and other processing issues within established procedures and authority.
Apply working knowledge of account transfer policies, procedures, controls, service-level expectations, and regulatory requirements when making routine processing decisions.
Use independent judgment to evaluate information and select an appropriate course of action; escalate matters beyond assigned authority or involving elevated operational, financial, regulatory, or client risk.
Communicate with financial advisors, branch personnel, internal operations teams, counterparties, and custodians to obtain information, resolve issues, and advance transfer requests.
Maintain accurate records, case notes, system updates, and supporting documentation in accordance with record-retention and control requirements.
Monitor workflow queues, transfer aging, service-level commitments, and daily production priorities, taking timely action to prevent avoidable delays or client impact.
Identify recurring defects, control gaps, and opportunities to reduce manual effort, improve quality, strengthen risk management, or enhance the client and employee experience.
Provide recommendations and subject-matter input for procedural updates, testing, automation, and other Account Transfers initiatives.
Participate in implementation of processes, controls, systems, and business initiatives requiring coordination across operations, risk, compliance, technology, and business partners.
Share knowledge with peers, support consistent procedure execution, and serve as a resource for routine process questions within the assigned area.