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Securities Operations Representative - Capital Market Trade

  • Operations
  • Full time
  • R-376836

About this role:

  • Wells Fargo is seeking a Securities Operations Representative

In this role, you will:

  • Perform various operational tasks on complex securities that require general knowledge of unit functions and systems
  • Support securities operations
  • Identify ways to improve the overall process
  • Perform moderately complex duties such as processing, researching inquires and reconciling transactions
  • Review time sensitive documents
  • Receive direction from supervisor and coordinate situations involving other departments
  • 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:

  • 2+ years of Securities Operations experience, or equivalent experience demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualification:

  • Knowledge on US Securities, Capital Markets, US taxation, Individual Retirement Account (IRA), W8 Forms, Tax Withholding, Investment Banking.
  • Knowledge on SR handling, Escalation handling, Knowledge on Account opening and maintenance, CDD (Customer due diligence), Shell accounts.
  • Candidates with 2+ years of overall work experience having closely worked on Securities/Wealth & Investment Management with Excellent communications skills.
  • Understanding of Trade life cycle.
  • Candidates are required to understand the corporate action life cycle, risk areas associated with the process and ability to resolve the issues/escalations diligently.
  • Experience in Securities Operations, Fee Billing, Payment processing, anything within securities industry or in Investment Banking will be an added advantage.
  • Commerce Graduate with B.Com/M.com /MBA preferably in Finance vertical.
  • Candidate should have basic accounting Knowledge.
  • Good problem solving and analytical skills and numerical skills.
  • Typing Skills / Good Communication (Read / Write / Speak).
  • Desirable to have experience of interacting with US customers.

Shift Timing: 5:30 PM – 2:30 AM IST

Functional Model: 4 days from office

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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