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Lead Securities Operations Representative

  • Operations
  • Full time
  • R-225967
  • About the Role

    Wells Fargo Brokerage Ops is seeking for a candidate to perform various back office functions, which Investment Support Services. This candidate will be primarily responsible for executing the production work with minimal supervision. Process deals with stringent cutoffs and tight deadlines on a daily basis so the candidate should possess the sense of urgency and willing to go beyond the expectations. 

    Primary Responsibilities;

    Is responsible for performing a variety of operational tasks for highly complex securities or cash related transactions or processes that require good knowledge of unit functions and systems. Duties may include:

  • The Client Servicing team serves as the front line for Investment Support Services supporting the investment community.
  • Responsible for major tasks like New Sub Accounts, Contributions, Withdrawals, Sub Account Terminations, Change Strategies and Tax Harvest requests
  • Team reviews the main account to determine SMA eligibility, funding accuracy and availability, and proper fee coding and setup
  • Manual intervention required for all cash funding requests, establish advice, statement, and memo ticklers on the new sub account.
  • Involves activities on APL Activation and coordination with Money Managers for their acceptance.
  • The Reconciliation Support Services team is the liaison with the non-proprietary or external SMA money managers supporting the APL Trading Platform.
  • Handling Exception report reconciliation report, showing any differences comparing SEI to APL and fix the corrections.
  • Support Pre-settlement trade corrections, Tax harvest, settlement issues, Add/Remove accounts from trading platform in coordination with Money managers
  • Performs a variety of operational tasks which high complex in nature.
  • To be able to escalate any discrepancies/issues to the supervisors in a timely fashion.
  • Good understanding of market participants like custodian, clearinghouse, brokers, Investment Managers, exchange etc.
  • Leads and/or participates in production improvement efforts; and addresses procedural impacts.
  • Provides management level reporting including service quality, volume tracking, and/or staff performance.
  • SME of the process/look after the overall process delivery
  • Make sure all the functions are cross trained appropriately and all the function have backups to manage the staff leave management
  • Essential Qualifications:

  • 6-8 years of Securities/Custody/Investment banking experience, preferably on APL, Client Servicing and Investment Support Services.
  • Understands the functionalities of US capital markets and various products like stock/equity, mutual fund, bonds etc.
  • Detail-oriented with very good problem-solving abilities
  • Performs a variety of operational tasks for moderately to complex level
  • Commerce Graduate with CA/CFA/ICW/M.com /MBA preferably in Finance vertical
  • Desired Qualification:

  • Very Good problem solving and analytical skills and numerical skills
  • Must have experience of interacting with US customers.
  • Working Hours: 6:30pm to 3:30am

    Work location: Bangalore-India            
  • @RWF22  

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

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 US: All qualified applicants will receive consideration for employment without regard to race, color, religion, age, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

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.


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