About this role:
Wells Fargo is seeking a Senior Securities Operations Representative...
In this role, you will:
- Perform a variety of operational tasks for complex securities or process extensive knowledge of systems
- Provide ideas for improving or implementing processes
- Perform moderately complex duties such as processing, researching inquires and reconciling transactions
- Review time sensitive documents
- Provide training or work direction to less experienced staff
- Address compliance and corporate governance issues for the department
- Lead or participate in projects
- Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
- Interact with internal customers
- Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
Required Qualifications, International:
- Experience in Securities Operations, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
· 4 years of customer service experience
· Preferably with background in brokerage services or similar financial line of businesses
· Experience in survey driven campaigns
· Estate Call Support caters to two lines of service namely Estate Service (Full Service) and Wellstrade Estate Service (WT Service).
These service lines answer questions/ queries from front office personnel (Full Service) and for external clients (WT Service) and provide information and paperwork needed to process death claims for IRA and Non-IRA accounts.
This team also handles inquiries regarding IRA divorce processing and how to submit requests for Account Valuations.
The Securities Operations Representative (SOR) position is within the WIM Brokerage Operations - Estate Processing Department, part of Client Onboarding and Account Services Group at Wells Fargo Advisors.
· Inbound Calls:
Assist, provide guidance and explain policies and procedures to external clients in processing death claim requests and move assets from deceased account to beneficiary account(s).
Completes account maintenance and submits beneficiary research requests (for IRA only) to processing related to initial date of death report
Sends to beneficiaries or possible beneficiaries list and copies of required documents and provides information on how to fill out and submit to process death claim and move / transfer assets from deceased account to the beneficiaries account.
Provides information about the status and next steps necessary to external clients/beneficiaries on an existing death claim request as well as SLAs and turn around times.
Also assists external clients divorce processing for IRA accounts and account valuations.
Escalates cases as necessary for further research, investigation, legal advise, error correction, expedites, etc."
* Outbound calls:
Initiates outbound calls to External and Internal Clients as necessary to continue the inbound call interaction or provide updates and follow up on he issue/concern.
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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