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Securities Operations Associate Manager

  • Operations
  • Full time
  • R-224257
  • Department Overview

    Wealth & Investment Management (WIM) is one of the nation’s leading providers of financial and investment services in the United States offering a full range of products and services to meet clients’ unique needs and help them achieve financial goals.  It consists of six different lines of business one of which is Advisory Division (WFA). Within WFA, this requirement is under Middle office brokerage Ops.

    About the Role

    Wells Fargo Brokerage Ops is seeking for a candidate to lead the WFA Ops (International Settlements) team in WFI&P. The candidate will manage a team up to 12-15 FTE’s within Investment Operations, which performs various functions related to Mutual Funds, Securities, Fixed Income bonds in terms of Alternative Investments, MF Position Movement, Advisory Operations, Trade settlements etc  Process deals with stringent cutoffs and tight deadlines on a daily basis so the candidate should possess the sense of urgency and willing to go beyond the expectations.  This candidate will be primarily responsible for managing the process in India, provide leadership and managing various stakeholders. 

    Primary Responsibilities;

  • Manage a variety of operational tasks of Alternative Investments activities with potential high risk.
  • Transition and streamline the process with utmost accountability ahead of the deadline
  • Business requires extensive involvement with business partners in US and external counterparties
  • Rightly skilled to challenge ‘status quo’, establish robust risk management in the process
  • Being aware of the current market changes and working to incorporate the same in the process.    
  • Process deals with complex manual tasks, which needs managers’ attention to authorize and approve on a daily basis and closely monitor.
  • Daily interactions with external parties like Portfolio Managers , Brokers, Investment and money managers, fund Admins, clearing agents, Transfer agent companies to gather various information's about trade instructions, Money movements, Fund Transfers,  etc. 
  • Process deals with stringent cutoffs and tight deadlines on a daily basis. Dealing with escalations due to non-responsive parties  becomes daily process which is taken care by the managers
  • Always demonstrate” sense of urgency' and maintain a heightened sense of "Risk - alertness".
  • Effective stakeholders’ management, drive transformation and efficiency to the process and establish streamlined process.
  • Gain expertise in the process and lead by example
  • Essential Qualifications:

  • 9-12 years of work experience in the Securities /Financial Market industry, wealth management experience along with 1-2 years of people management experience is must.
  • Able to handle critical production or escalation issues with minimal supervision.
  • Ability to handle multiple tasks and meet tight deadlines.
  • Plan, coordinates, distributes, and monitors daily securities or cash related production work
  • Ensuring all Risk parameters are covered & reviewed regularly and have controls in place
  • Gain process expertise and guide the team
  • Very Good understanding of Capital markets products and process
  • strong technical and problem-solving skills
  • Commerce Graduate with CA/CFA/ICW/M.com /MBA preferably in Finance vertical
  • Any other industry related Certifications
  • Desired Experience:

  • Prior experience in Alternative Investments Process
  • Desirable to have experience of interacting with US customers and stakeholders.
  • Good knowledge and work experience in the Securities /Financial Markets/Mutual Funds/Reconciliation
  • Good problem solving skills, Attention to detail and comprehension skills
  • Must be comfortable working in night shift    
  • 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, or national origin.

    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.

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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