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Wells Fargo · 1 day ago

Senior Securities Operations Specialist

Charlotte, NC

Full-time

Hybrid

Mid, Senior Level

4+ years exp

Wells Fargo is seeking a Senior Securities Operations Specialist for their Operational Risk Services Team within the Risk & Regulatory Group. This role involves identifying and implementing process improvements, collaborating across teams, and managing operational risks to enhance client experience and compliance.

BankingFinancial ServicesFinTechInsurancePayments

Responsibilities

Lead or participate in moderately complex lifecycle initiatives and support tasks and act as a participant in large-scale planning and deliverables; identify opportunity for process improvements within Securities Operations

Apply deep knowledge of WIM Operations to improve workflows and reduce risk

Independently resolve moderately complex issues on a full process within a trade environment while leveraging solid understanding of the function, policies, procedures, and compliance requirements; may lead team to meet deliverables

Collaborate and consult with peers, colleagues, and mid-level managers to resolve issues and achieve goals; may lead projects, teams or serve as a mentor for lower-level staff

Manage expertise in the following operational processes including client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, and general ledger reconciliation

Research moderately complex business risks, influence policies, enhance customer satisfaction, and review time sensitive documents and transaction requests

Exercise independent judgment in understanding trade settlement workflow controls to minimalize the effects of operational breakdowns

Contribute to overall effectiveness of the team according to plans; monitor daily securities and cash related production work

Lead or contribute to implementation of projects and 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

Qualification

Securities Operations experienceWealth & Investment ManagementBetaNXT securities processingError trackingChange managementAnalytical skillsProblem-solving skillsPlanningOrganizingLeadershipTeam-oriented mindsetAdaptabilityDocumentation skills

Required

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