What are the responsibilities and job description for the Securities Operations Associate position at Wells Fargo?
About This Role
Wells Fargo is seeking a Securities Operations Associate as part of the Client Onboarding New Accounts team within Wealth and Investment Management Operations. This team is responsible for the successful onboarding of new customers and accurately maintaining the books and records for the firm. This team also works with various business partners to establish Operational policy and procedures for the field, provide input on updates to the New Account Opening and Maintenance applications, and process requests from the front office.
The Securities Operation Associate will be responsible for supporting the Client Onboarding New Accounts team by facilitating testing, report processing and implementation for the team. Learn more about our career areas and lines of business at wellsfargojobs.com .
In This Role, You Will
15 Oct 2024
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.
Wells Fargo Recruitment And Hiring Requirements
R-407359
Wells Fargo is seeking a Securities Operations Associate as part of the Client Onboarding New Accounts team within Wealth and Investment Management Operations. This team is responsible for the successful onboarding of new customers and accurately maintaining the books and records for the firm. This team also works with various business partners to establish Operational policy and procedures for the field, provide input on updates to the New Account Opening and Maintenance applications, and process requests from the front office.
The Securities Operation Associate will be responsible for supporting the Client Onboarding New Accounts team by facilitating testing, report processing and implementation for the team. Learn more about our career areas and lines of business at wellsfargojobs.com .
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
- 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
- 6 months of Securities Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- 6 months of brokerage industry experience
- 6 months of business analysis exposure; preferably within a Wells Fargo operational group
- Strong presentation skills such as facilitating team meetings or presenting information to meet business objectives
- Excellent data analysis and validation skills including researching, compiling, and presenting critical operational data in executive summaries
- Attention to detail and accuracy to identify and present processes/operational enhancements
- Ability to identify, research, and report on a variety of issues using problem solving skills
- Excellent verbal, written, and interpersonal communication skills
- Ability to work a hybrid schedule
- Willingness to work on-site at stated location on the job opening
- This position is not eligible for Visa sponsorship
- Salt Lake City, Utah
15 Oct 2024
- Job posting may come down early due to volume of applicants.
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.
Wells Fargo Recruitment And Hiring Requirements
- Third-Party recordings are prohibited unless authorized by Wells Fargo.
- Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.
R-407359
