About this role:
Wells Fargo is seeking a Senior Securities Operations Specialist as part of Account Opening and Maintenance team within Wealth and Investment Management. The Account Opening and Maintenance (AOM) team is responsible for supporting Financial Advisors and their staff with account opening and maintenance questions. The team effectively support our clients by responding to a high volume of incoming inquiries, reviewing new account documentation for good order and research, and resolving complex client onboarding questions. Learn more about our career areas and lines of business at wellsfargojobs.com.
The Senior Specialist will support the team in performing quality control as well as provide additional oversite of the quality control review performed for all locations for enterprise‑wide deceased account coding, and control and reporting activities supporting operational risk and ORE mitigation.
In this role, you will:
Lead or participate in moderately complex lifecycle initiatives and support tasks and act as a participant in large-scale planning and deliverables; identify opportunity for process improvements within Securities Operations
Partner with Product Teams to define criteria and requirements that drive future system enhancements and process improvements as well as supporting letter and form updates
Review and analyze moderately complex operational tasks or challenges that require an in-depth evaluation of variable factors
Independently resolve moderately complex issues on a full process within a trade environment while leveraging solid understanding of the function, policies, procedures, and compliance requirements; may lead team to meet deliverables
Collaborate and consult with peers, colleagues and mid-level managers to resolve issues and achieve goals; may lead projects, teams or serve as a mentor for lower level staff
Manage expertise in the following operational processes including client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, and general ledger reconciliation
Resolve moderately complex escalated issues within the scope of responsibility in Security Operations
Research moderately complex business risks, influence policies, enhance customer satisfaction, and review time sensitive documents and transaction requests
Exercise independent judgment in understanding trade settlement workflow controls to minimalize the effects of operational breakdowns
Contribute to overall effectiveness of the team according to plans; monitor daily securities and cash related production work
Lead or contribute to implementation of projects and new or revised processes and procedures that require coordination among operation teams and perform analysis for initiatives that support business strategies making decisions on matters with financial impact and risk
Required Qualifications:
4+ years of Securities Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
2+ years of experience working with brokerage/trust account (SmartStation, BETA, SEI) systems
2+ year of experience supporting account opening and maintenance
Experience working with financial DataFeeds and Enterprise Accounting platforms (EAG), including data validation, exception handling, and impact analysis for downstream posting and reconciliation
Demonstrated knowledge of system access requests, creating and reviewing entitlements and roles requirements
Experience with testing, including control validation, checker review, process verification, validation and readiness as well as writing testing scripts
Knowledge and familiarity with RSNIP processes and related workflows
Proven organizational, multi-tasking, and prioritizing skills, as well as the ability to influence and negotiate
Ability to motivate staff to prioritize work, meet aggressive deadlines, achieve goals, and work under pressure in a dynamic and complex environment
Ability to interact with all levels of an organization, including management
Excellent verbal, written, and interpersonal communication skills
Leadership skills including coaching, training, and mentoring
Advanced Microsoft Office skills
Job Expectations:
This position is not eligible for Visa sponsorship
Ability to work hybrid in-office schedule, additional hours and shifts as needed
Willingness to work on-site at stated location on the job opening
Posting Locations:
Charlotte, North Carolina
Posting End Date:
23 Jun 2026*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.
