Securities Operations Specialist

Wells Fargo is seeking a Securities Operations Specialist within the Brokerage Portfolio Implementation team as part of WIM (Wealth and Investment Management) Operations division. Learn more about the career areas and lines of business at wellsfargojobs.com.

This team supports the Personalized UMA (Unified Managed Accounts) Multi-Sleeve Advisory Program, providing oversight, request handling and overlay trading for 70,000+ client accounts. The team is responsible for implementing and maintaining model-driven portfolios at scale, ensuring that client accounts are aligned to investment strategies As a specialist in this group, you will serve as a critical control point between portfolio strategy, trading execution, and operational oversight.

In this role, you will:

• Participate in low to moderately complex lifecycle support initiatives and identify opportunity for process improvements within Securities Operations

• Review and analyze basic or tactical functional operational tasks or challenges that require research, evaluation, and selection of alternatives; exercise independent judgment related to low-to-medium risk deliverables

• Present recommendations for resolving low to moderately complex situations related to a full process within a trade environment while developing understanding of function, policies, procedures, and compliance requirements

• Provide information to, collaborate, and consult with peers, colleagues and managers, including internal and external customers, to resolve issues and achieve goals

• Develop expertise in the following operational processes including onboarding, funding, deposits, withdrawals, terminations, and tax-driven events such as harvesting and raise-cash requests

• Investigate and resolve trade, reconciliation, and processing issues, partnering across operations, technology, and trading teams to ensure accurate and timely resolution

• Research low to moderately complex business risks, provide input into policies, enhance customer satisfaction, and review time sensitive documents and transaction requests

• Maintain strong focus on controls, risk mitigation, and compliance, supporting accurate execution and adherence to regulatory and firm standards

• Drive operational efficiency and process improvement, identifying opportunities to streamline workflows, reduce risk, and enhance scalability within the UMA platform

• Contribute and may lead implementation of projects, new or revised processes, and procedures that require coordination among operation teams and perform analysis for initiatives that support business strategies making decisions on matters with financial impact and risk

Required Qualifications:

• 2+ 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+ years of Brokerage Operations experience including portfolio implementation and trade processing

• 2+ years of Brokerage Customer Service experience

• Exposure to Wells Fargo managed account systems such as: APL, Beta and Smart Station

• Ability to navigate multiple computer systems, applications, and utilize search tools to find information

• Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important

• Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment

• Strong analytical skills with high attention to detail and accuracy

• Experience importing, exporting, and manipulating data using Microsoft Excel

• Excellent verbal, written, and interpersonal communication skills

• Intermediate Microsoft Excel skills

Job Expectations:

• Willingness to work on-site as stated location on the job opening (6:30 or 7am start to 3pm or 3:30pm end)

• This position offers a hybrid work schedule (Tues-Thurs in office, Mon and Fri from home)

• This position is not eligible for Visa sponsorship

​

Posting Location:

• 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.