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Senior Securities Operations Representative

  • Operations
  • Full time
  • R-374258

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:

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

Desired Qualifications:

  • Fiduciary: Knowledge on US Securities, US Taxation and Tax Forms, Capital Markets, Cost Basis Reporting
  • NRA: Knowledge on US Securities, Capital Markets, US taxation, Individual Retirement Account (IRA), W8 Forms, Tax Withholding, Investment Banking.
  • Cost Basic Exception: Knowledge on US Securities, Capital Markets, US Taxation, Share Class Exchange, Automated Client Account Transfer Services, Options, Closed Proceeds, Investment Banking, Corporate Actions, Cost Basis Reporting System.
  • Cost Basis Loading: Knowledge on US Securities, Capital Markets, US Taxation, Trade Life Cycle, US Tax Regulations, Corporate Actions.
  • Strong MS Excel Knowledge
  • MS Office Basics
  • Knowledge on Investment Banking System Applications
  • Typing Speed: 35 words/minute 3-4 years of securities/wealth and investment management,
  • Basic understanding of US Securities market
  • Understanding of Trade life cycle
  • Understands the basics of capital markets and various products like what a mutual fund is, bonds, what is a stock/equity, etc.
  • Attention to detail and comprehension skills.
  • Commerce Graduate with CA/CFA/ICW/M.com /MBA preferably in Finance vertical.
  • Candidate should have basic accounting Knowledge.
  • Good problem solving and analytical skills and numerical skills.
  • Good Communication (Read / Write / Speak).
  • Desirable to have experience of interacting with US customers.

Job expectation:

Shift timings: 3:30 PM to 12:30 AM IST and must be flexible to change shifts if the business demands.

Work from office Model

Posting End Date: 

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

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, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

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.

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