Securities Operations Associate

About this role:

Wells Fargo is seeking a Securities Operations Associate to join the Fiduciary Tax team in Business Operations as part of Investment Operations division. Learn more about the career areas and lines of business at wellsfargojobs.com.

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
• Support overall effectiveness of the team according to plans; monitor daily securities and cash related production work
• Contribute to implementation of projects, new or revised processes, and procedures that require coordination among operation teams and may perform analysis for initiatives that support business strategies

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:

• Financial services experience or a combination of the following: operations, financial services, business processing, analytical, or clerical
• SEI Trust 3000 experience
• Extensive Microsoft Excel spreadsheets experience related to importing, exporting, and manipulating data with the use of formula and coding
• Microsoft Access experience related to importing and tracking data
• Strong attention to detail and accuracy skills
• Perform a variety of operational tasks for requests related to payment requests
• Complete requests and on by the regulatory deadlines
• Review and resolve time sensitive and/or less complex to moderately complex requests/complaints        
• Handle critical production or escalation issues   
• Document and track completion of request on a daily basis          
• Consistent execution of agreed action items, and policies & procedure           
• Develop and maintain expert knowledge of all work types
• Assist manager in creating or revising departmental procedures
• Assist manager in process training​
• Complete all trainings within the deadline (web-based trainings, document submission, etc.)
• Attend all necessary forums, meetings, etc. as advised by manager  
• Initiate/Suggest process improvement ideas to increase efficiency           
• Other AD HOC tasks given by manager

Job Expectations:

• Willingness to work on-site at stated location on the job opening
• Ability to work additional hours as needed
• This position is not eligible for Visa sponsorship
• This position offers a hybrid work schedule

Posted Location:

• 1525 W WT Harris Boulevard, Charlotte, North Carolina 28262-8522

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.