Senior Securities Operations Specialist - Trade Settlements

About this role:

Wells Fargo is seeking a Senior Securities Operations Specialist as part of the Investment Manager Relations (IMR) and Physical Securities Processing teams within Brokerage and Trust Trade Settlements in Wealth and Investment Management Operations.

This team serves as a critical partner across the trade lifecycle and securities custody environment, supporting investment managers, custodians, transfer agents, and internal business partners to facilitate timely trade settlement, resolve operational exceptions, maintain account and market connectivity, and safeguard client assets. Team members work closely with Client Solutions, Trade Exceptions, Domestic and Global Settlements, custodians, and transfer agents to mitigate operational risk, ensure accurate transaction processing, and deliver an exceptional client experience.

The Senior Specialist will be responsible for investigating and resolving trade and account-related issues, supporting account onboarding and standing settlement instructions, facilitating communication with investment managers and custodians, and ensuring the timely resolution of settlement-related exceptions. Additionally, the role supports physical securities processing activities including certificate deposits and withdrawals, ownership transfers, re-registrations, direct registration transactions, transfer agent interactions, custody reconciliations, and the safeguarding of client assets. The team performs detailed reviews of documentation, monitors cash and security movements, reconciles asset activity, and ensures compliance with operational controls, regulatory requirements, and risk management standards.

This role requires strong analytical, problem-solving, and relationship management skills, along with the ability to manage multiple priorities in a fast-paced environment while maintaining a high degree of accuracy. The ideal candidate will demonstrate sound judgment, attention to detail, and a commitment to continuously improving processes that support both operational effectiveness and client experience.

In this Role, You Will:

• Lead or participate in moderately complex lifecycle initiatives and support tasks; identify opportunities for process improvements within Securities Operations.
• Review and analyze moderately complex operational tasks and challenges related to trade settlements, investment manager support, and physical securities processing.
• Independently resolve moderately complex issues throughout the trade and asset servicing lifecycle while leveraging a strong understanding of operational procedures, controls, and compliance requirements.
• Collaborate and consult with peers, business partners, custodians, investment managers, transfer agents, and leadership to resolve issues and achieve business objectives.
• Support operational processes including account onboarding, standing settlement instruction maintenance, trade exception management, securities settlement services, physical securities custody, asset transfers, and reconciliations.
• Investigate and resolve escalated issues related to trade settlements, custody activities, physical securities processing, and client asset servicing.
• Research operational risks, enhance customer satisfaction, and review time-sensitive documentation and transaction requests.
• Process and review physical securities transactions including deposits, withdrawals, ownership transfers, re-registrations, direct registration transactions (DRS), and transfer agent requests.
• Review and reconcile cash and security movements, ensuring accurate recordkeeping and safeguarding of client assets.
• Exercise independent judgment in understanding workflow controls to minimize operational risk and support a strong control environment.
• Contribute to the overall effectiveness of the team by monitoring daily production activities, identifying operational efficiencies, and supporting risk management initiatives.
• Lead or contribute to implementation of projects, system enhancements, and new or revised processes and procedures that require coordination across multiple operational teams.
• Perform analysis supporting business strategies and make decisions on matters involving operational risk, client impact, and financial exposure.

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+ year of trust or brokerage operations experience
• 2+ year of domestic or international trade settlements experience
• Strong attention to detail and accuracy skills and solid problem-solving skills
• Ability to work independently, proactively, and innovatively, and creatively while exercising sound judgment
• Customer service focus with the ability to listen to customer needs and recommend solutions
• Excellent verbal, written, and interpersonal communication skills
• Effective organization, multitasking, and prioritizing skills
• Advanced Microsoft Office skills

Job Expectations:

• Ability to work additional hours and different shifts as needed
• Must be able to work at location listed on posting
• This position is not eligible for Visa Sponsorship

Posting Locations:

• Charlotte, North Carolina

Posting End Date: 

*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.