Senior Securities Operations Specialist

Wells Fargo Bank • Charlotte, NC

2d • Hybrid

About The Position

Wells Fargo is seeking a Senior 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 a high volume of incoming inquiries, reviewing new account documentation for good order and research, and resolving complex client onboarding questions. The Senior Specialist will support the team in performing quality control as well as provide additional oversite of the quality control review performed for all locations for enterprise‑wide deceased account coding, and control and reporting activities supporting operational risk and ORE mitigation.

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 experience working with brokerage/trust account (SmartStation, BETA, SEI) systems
• 2+ year of experience supporting account opening and maintenance
• Experience working with financial DataFeeds and Enterprise Accounting platforms (EAG), including data validation, exception handling, and impact analysis for downstream posting and reconciliation
• Demonstrated knowledge of system access requests, creating and reviewing entitlements and roles requirements
• Experience with testing, including control validation, checker review, process verification, validation and readiness as well as writing testing scripts
• Knowledge and familiarity with RSNIP processes and related workflows
• Proven organizational, multi-tasking, and prioritizing skills, as well as the ability to influence and negotiate
• Ability to motivate staff to prioritize work, meet aggressive deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Ability to interact with all levels of an organization, including management
• Excellent verbal, written, and interpersonal communication skills
• Leadership skills including coaching, training, and mentoring
• Advanced Microsoft Office skills

Responsibilities

• Lead or participate in moderately complex lifecycle initiatives and support tasks and act as a participant in large-scale planning and deliverables; identify opportunity for process improvements within Securities Operations
• Partner with Product Teams to define criteria and requirements that drive future system enhancements and process improvements as well as supporting letter and form updates
• Review and analyze moderately complex operational tasks or challenges that require an in-depth evaluation of variable factors
• Independently resolve moderately complex issues on a full process within a trade environment while leveraging solid understanding of the function, policies, procedures, and compliance requirements; may lead team to meet deliverables
• Collaborate and consult with peers, colleagues and mid-level managers to resolve issues and achieve goals; may lead projects, teams or serve as a mentor for lower level staff
• Manage 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 moderately complex escalated issues within the scope of responsibility in Security Operations
• Research moderately complex business risks, influence 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
• Contribute to overall effectiveness of the team according to plans; monitor daily securities and cash related production work
• Lead or contribute to implementation of projects and 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

Benefits

• Equal Opportunity Employer
• Focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture
• Accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance)
• Proactive monitoring, governance, risk identification and escalation
• Accommodation for applicants with disabilities is available upon request

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed