Securities Operations Associate

• About this role:

  Wells Fargo is seeking a Securities Operations Associate

  
  In this role, you will:

• Participate in low complexity lifecycle support tasks and help identify opportunities for process improvements within Securities Operations
• Review basic or tactical issues, policies or procedures for which answers can be quickly obtained, related to low risk tasks and deliverables with narrower impact
• Receive direction from manager and exercise judgment within defined parameters related to resolving situations on a full process within a trade environment, while developing understanding of various functions, policies, and procedures
• Provide information to, collaborate, and consult with peers, colleagues and managers, including internal and external customers, to resolve issues and achieve goals
• Build expertise in operational processes including client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, and general ledger reconciliation
• Assist in gathering data to support resolution of issues; review and analyze functional operational tasks that require research and evaluation
• Resolve low complexity escalated issues within the scope of responsibility in Security Operations
• Research low complexity business risks, provide input into policies, enhance customer satisfaction, and review time sensitive documents and transaction requests

Required Qualifications:

• 6+ months of Securities Operations experience, or equivalent demonstrated through one or a combination of the following:  work experience, training, military experience, education

Desired Qualifications:

• Client Account Maintenance:
  Manage day-to-day maintenance of securities market brokerage client accounts, including updates to client details, account modifications, and periodic reviews to ensure accuracy and compliance.
• Client Onboarding & Documentation:
  Handle end-to-end onboarding of new brokerage clients by collecting, verifying, and processing KYC and regulatory documentation in line with internal policies and market regulations.
• Data Management & Quality Control:
  Maintain and monitor client and account data across brokerage systems, ensuring data integrity, timely updates, and adherence to data governance standards.
• Operational Support for Brokerage Services:
  Support operational activities related to securities market brokerage clients, addressing service requests, resolving account-related queries, and coordinating with internal teams for issue resolution.
• Regulatory & Compliance Adherence:
  Ensure all client account activities and onboarding processes comply with relevant regulatory requirements, internal controls, and audit standards, supporting periodic reviews and audits.
• Manage end-to-end maintenance of brokerage client accounts, including account updates, modifications, periodic reviews, and closures in line with operational guidelines.
• Execute client onboarding activities, including KYC verification, documentation validation, account setup, and regulatory checks aligned with securities market standards.
• Ensure accurate and consistent client and account data management across brokerage platforms, maintaining high data quality and governance standards.
• Provide operational support for securities brokerage services by addressing client requests, resolving discrepancies, and coordinating with internal stakeholders.
• Monitor and ensure compliance with regulatory, audit, and internal control requirements, supporting reviews, audits, and process enhancements.

Job Expectations:

• 5+ years of experience in securities market operations, brokerage services, client servicing, or related financial services roles.
• Strong working knowledge of securities markets, brokerage operations, account lifecycle management, and client servicing processes.
• Familiarity with KYC, AML, regulatory, and compliance requirements related to brokerage accounts.
• Experience working with client data management systems, brokerage platforms, and operational workflows.
• Strong attention to detail, analytical skills, and the ability to manage multiple priorities in a fast-paced environment.
• Effective communication skills for coordinating with internal teams and responding to client-related queries.
• Experience in global or regional brokerage operations (equities, derivatives, or other securities).
• Exposure to regulatory frameworks and audits related to securities markets.
• Prior experience in process improvement or operational optimization initiatives.

Posting End Date: 

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.