Senior Securities Operations Specialist - Regulatory Reporting & Oversight

Wells Fargo Bank•Minneapolis, MN

1d•Hybrid

About The Position

Wells Fargo is seeking a Senior Securities Operations Specialist as part of the Regulatory Reporting & Oversight Team within Wealth and Investment Management Operations. This team is responsible for ensuring the accurate and timely delivery of reporting to the regulators aligned with the WIM business (e.g. FINRA, SEC, OCC, etc.). In addition, the team will support Operations in the rollout of associated reporting changes as well as with responses to regulators and internal business partners. The Senior Specialist will partner in driving lifecycle initiatives and operational excellence. This role plays a critical part in shaping cross-functional initiatives with broad organizational impact, identifying opportunities for process improvement, and delivering high-quality outcomes in a dynamic environment.

Requirements

4+ 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 trust or brokerage operations experience
Strong attention to detail and accuracy
Effective problem solving, decision-making, organizational, multi-tasking, and prioritization skills
Ability to work independently, proactively, innovatively, and creatively while expressing sound judgement
Ability to work in a fast-paced, deadline driven environment
Excellent verbal, written and interpersonal communication skills
A BS/BA degree or higher in accounting, finance, or another business-related field
Advanced Microsoft Office Skills

Responsibilities

Execute and support complex lifecycle initiatives and operational activities, including projects that may have cross-functional impacts; identify opportunities for process improvements within securities operations
Review, analyze, and resolve complex operational issues, exceptions, and challenges that require evaluation of multiple factors, established procedures, and business requirements.
Make informed decisions within established guidelines related to operational processes in a trade environment while applying knowledge of policies, procedures, and compliance requirements to achieve business objectives.
Collaborate with peers, business partners, and managers to resolve issues, support operational goals, and contribute to department initiatives; provide guidance and knowledge-sharing to less experienced team members as appropriate.
Develop and maintain expertise in operational processes including client account onboarding, funding operations, custodial operations, and general ledger reconciliation.
Resolve complex escalated issues within Securities Operations and recommend solutions to mitigate operational risks and improve efficiency.
Research operational risks and business challenges, support policy and procedure enhancements, improve customer experience, and review time-sensitive documents and transaction requests.
Exercise independent judgment in supporting daily business activities and operational objectives while identifying opportunities to strengthen workflow controls and minimize operational disruptions.
Support the effectiveness of the team by monitoring assigned securities and cash-related production activities and assisting with workload management as needed.
Participate in the implementation of projects, process enhancements, and procedural changes that require coordination across operational teams; perform analysis to support business strategies, risk mitigation, and operational improvements.
Support additional business unit activities and special projects as assigned.