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Senior Securities Operations Representative - Mutual fund bonds

  • Operations
  • Full time
  • R-380034

About this role:
 

Wells Fargo is seeking a Senior Securities Operations Representative.
 

  • 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:

  • 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
  • Perform Reconciliation of advisory accounts and ensure accurate maintenance on the systems by adhering to the agreed service levels.
  • Understanding the products and severity of the process which involves dealing with highly sensitive accounts.
  • Additional functions of receiving notifications of deposits and/or withdrawals of cash and securities.
  • Handling escalated requests requiring clarification & research to provide an accurate resolution.
  • Liaising with portfolio managers regarding cash flows and active cash management
  • Interaction with Financial Advisors, Investment Managers, Business counterparts to gather process/product related information.
  • Act as a SME to the process, guide the peers and team to provide any assistance needed.
  • Support and Train new joiners / existing team members.
  • Contribute towards process efficiencies, like simplification or enhancement.
  • Contribute towards mitigating risk in process by implementing effective controls.
  • Securities/Custody/Investment banking experience
  • Understanding of Securities market, preferable US.
  • Good understanding of Trade life cycle
  • Proficient with the capital markets and various products like what is a mutual fund, bonds, what is a stock/equity, etc.
  • Attention to detail and comprehension skills
  • Commerce Graduate / MBA / higher degree in financial field.
  • Candidate should have good accounting Knowledge

  • Very good understanding of tasks like reconciliation, matching, trade settlement, Capital markets etc.
  • Good problem solving and analytical skills and numerical skills
  • Typing Skills / Good Communication (Read / Write / Speak)
  • Desirable to have experience of interacting with US counterparts.

Working Hours: 6:30 PM - 3.30 AM IST

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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