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Lead Securities Operations Representative

  • Operations
  • Full time
  • R-319485

About this Role

Wells Fargo Brokerage Ops is seeking for a candidate to perform various back office & middle office functions, which involves Trade processing, Settlements, Asset Servicing, Reconciliation, Income processing etc. This candidate will be primarily responsible for executing the production work with minimal supervision. 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. 

In this role, you will;

  • Support overall effectiveness of the team according to plans, monitor daily securities, and cash related production work Supervise daily production activities and staff
  • Guide others on complex production improvement efforts and address procedural impacts
  • Provide back-up for all department functions while providing coaching and feedback to staff
  • Prioritize work and provide daily leadership to teams
  • Contribute to solving corporate governance and address compliance issues for the department
  • Lead the implementation of new or revised processes and procedures
  • 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 judgement while developing the
  • knowledge to understand function, policies, procedures, and compliance requirements

Is responsible for performing a variety of operational tasks for highly complex securities or cash related transactions or processes that require good knowledge of unit functions and systems. Duties may include:

  • Security master / Trade processing / Settlements / Corporate Action / Mutual funds processing / Portfolio Reconciliation.
  • Setting up CUSIPs in Wells Fargo system of records.
  • To be able to process all type of trades/ corporate action events independently.
  • Handle the queries form the onshore teams/clients/customers.
  • Performs a variety of operational tasks in middle office area which high complex in nature.
  • To be able to escalate any discrepancies/issues to the supervisors in a timely fashion.
  • Very good Understanding of US Trade life cycle
  • Very good understanding of market participants like custodian, clearinghouse, brokers, Investment Managers, exchange etc.
  • Leads and/or participates in production improvement efforts; and addresses procedural impacts
  • Provides management level reporting including service quality, volume tracking, and/or staff performance.
  • SME of the process/look after the overall process delivery
  • Make sure all the functions are cross trained appropriately and all the function have backups to manage the staff leave management

Required Qualifications:

  • 7-8 years of Securities/Custody/Investment banking experience                                         
  • Understands the functionalities of US capital markets and various products like stock/equity, mutual fund, bonds etc.
  • Detail-oriented with very good problem solving abilities
  • Commerce Graduate with CA/CFA/ICW/M.com /MBA preferably in Finance vertical

Desired Qualification:

  • Excellent understanding of tasks like reconciliation, matching, trade settlement, Capital markets etc.
  • Very Good problem solving and analytical skills and numerical skills
  • Must to have experience of interacting with US customers.

Working Hours: 6:30pm to 3:30am

Work location: Bangalore-India              


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.

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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