Securities Operations Associate-Brokerage

• About this role:

  Wells Fargo is seeking a Securities Operations Representative

  
  In this role, you will:

• Participate in low complexity lifecycle support tasks and help identify opportunities for process improvements within Securities Operations
• Review basic or tactical issues, policies or procedures for which answers can be quickly obtained, related to low risk tasks and deliverables with narrower impact
• Receive direction from manager and exercise judgment within defined parameters related to resolving situations on a full process within a trade environment, while developing understanding of various functions, policies, and procedures
• Provide information to, collaborate, and consult with peers, colleagues and managers, including internal and external customers, to resolve issues and achieve goals
• Build expertise in operational processes including client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, and general ledger reconciliation
• Assist in gathering data to support resolution of issues; review and analyze functional operational tasks that require research and evaluation

• 
  Job Expectations:

• Any graduate degree (Commerce, Business, Finance, or equivalent preferred)
• 5+ years of experience in Securities Operations, specifically in Brokerage Account Opening and Maintenance
• Strong working knowledge of securities markets, brokerage products, and operational workflows
• Good understanding of KYC/AML, regulatory requirements, and compliance standards applicable to brokerage operations
• Experience supporting US brokerage clients
• Strong attention to detail and risk awareness
• Ability to manage high volumes with accuracy and timeliness
• Excellent analytical and problem-solving skills
• Good communication skills 
• Ability to work independently as well as collaboratively in a team environment
• Proficiency in MS Excel and other operational tools
• Prior experience with workflow tools and document management systems is preferred

• 
  Desired Qualifications:

• Handle end-to-end account opening and maintenance activities for brokerage accounts in line with client and regulatory requirements
• Review, validate, and process new account documentation ensuring completeness, accuracy, and compliance with AML/KYC and regulatory standards
• Perform account maintenance activities including updates to client details, account changes, restrictions, and closures
• Ensure adherence to Wells Fargo policies, procedures, and service-level agreements (SLAs)
• Identify and resolve exceptions, discrepancies, and breaks within defined timelines
• Liaise with internal teams, upstream/downstream stakeholders, and client contacts to resolve operational issues
• Support audits, regulatory reviews, and control testing by providing required documentation and explanations
• Contribute to process improvement initiatives, documentation updates, and operational efficiency enhancements
• Mentor junior team members and provide guidance on complex scenarios

• 
  Required Qualifications:

• 6+ months of Securities Operations experience, or equivalent demonstrated through one or a combination of the following:  work experience, training, military experience, education
• Resolve low complexity escalated issues within the scope of responsibility in Security Operations
• Research low complexity business risks, provide input into policies, enhance customer satisfaction, and review time sensitive documents and transaction requests
• Support overall effectiveness of the team according to plans; monitor daily securities and cash related production work
• Contribute to implementation of projects, new or revised processes, and procedures that require coordination among operation teams and may perform analysis for initiatives that support business strategies

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.