Senior Securities Operations Specialist

Wells Fargo•Charlotte, NC

2d•Hybrid

About The Position

About this role: Wells Fargo is seeking a Wells Fargo is seeking a Senior Securities Operations Specialist for our Operational Risk Services Team. The team sits within the Risk & Regulatory Group which oversees eight vertical disciplines that provide support across WIM Operations to ensure compliance with legal, regulatory, and industry standards, strengthen the control infrastructure, minimize losses, and deliver an effective client experience. The team also helps the organization proactively identify, assess, and manage risk through the strengthening their Control and Supervision environments. This is primarily through support for end-of-day checklists, incident capture, transactional risk reviews, sample testing and support for the RCSA program. The team also oversees the Operational Risk Event (ORE) program, an internal Incident Capture Tool (ICT), Key Risk Indicators (KRI), Issue Management credible challenge, and provides End-User Computing Tools (EUCT) policy support. As a Senior Securities Operations Specialist, you will play a key role in identifying and implementing process improvements that strengthen our control infrastructure and elevate the client experience. You’ll collaborate across teams to resolve escalated issues, lead strategic initiatives, and contribute to risk mitigation efforts. In this role, you will: 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 Apply deep knowledge of WIM Operations to improve workflows and reduce risk. 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 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

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

5+ years of experience in Wealth & Investment Management Operations
3+ years of experience in error tracking, reporting, and implementing preventative solutions
Experience using the BetaNXT securities processing system
Proven change management experience
Strong analytical and problem-solving skills with a passion for continuous improvement
Ability to break down complex business questions into data-driven solutions
Skilled in identifying inefficiencies and implementing automated solutions to improve performance.
Demonstrated leadership in cross-functional initiatives and risk mitigation efforts
Ability to quickly learn and adapt to change
Demonstrated interest in staying current with data tools, platforms, and best practices
Ability to clearly document processes, logic, and assumptions to support transparency and scalability
Flexible to work according to business requirements
Skilled in setting priorities, planning, and organizing key deliverables
Ability to work independently and meet deadline
Team-oriented mindset with flexibility to meet evolving business needs
Comfortable working across teams to gather requirements, share insights, and deliver actionable outputs

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
Apply deep knowledge of WIM Operations to improve workflows and reduce risk.
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
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