Senior Securities Operations Specialist - Regulatory Reporting & Oversight

About this role:

Wells Fargo is seeking a Senior Securities Operations Specialist as part of the Regulatory Reporting & Oversight Team within Wealth and Investment Management Operations. This team is responsible for ensuring the accurate and timely delivery of reporting to the regulators aligned with the WIM business (e.g. FINRA, SEC, OCC, etc.). In addition, the team will support Operations in the rollout of associated reporting changes as well as with responses to regulators and internal business partners.

The Senior Specialist will partner in driving lifecycle initiatives and operational excellence. This role plays a critical part in shaping cross-functional initiatives with broad organizational impact, identifying opportunities for process improvement, and delivering high-quality outcomes in a dynamic environment.

In this role, you will:

• Execute and support complex lifecycle initiatives and operational activities, including projects that may have cross-functional impacts; identify opportunities for process improvements within securities operations

• Review, analyze, and resolve complex operational issues, exceptions, and challenges that require evaluation of multiple factors, established procedures, and business requirements.

• Make informed decisions within established guidelines related to operational processes in a trade environment while applying knowledge of policies, procedures, and compliance requirements to achieve business objectives.

• Collaborate with peers, business partners, and managers to resolve issues, support operational goals, and contribute to department initiatives; provide guidance and knowledge-sharing to less experienced team members as appropriate.

• Develop and maintain expertise in operational processes including client account onboarding, funding operations, custodial operations, and general ledger reconciliation.

• Resolve complex escalated issues within Securities Operations and recommend solutions to mitigate operational risks and improve efficiency.

• Research operational risks and business challenges, support policy and procedure enhancements, improve customer experience, and review time-sensitive documents and transaction requests.

• Exercise independent judgment in supporting daily business activities and operational objectives while identifying opportunities to strengthen workflow controls and minimize operational disruptions.

• Support the effectiveness of the team by monitoring assigned securities and cash-related production activities and assisting with workload management as needed.

• Participate in the implementation of projects, process enhancements, and procedural changes that require coordination across operational teams; perform analysis to support business strategies, risk mitigation, and operational improvements.

• Support additional business unit activities and special projects as assigned.

Required Qualifications:

• 4+ 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 trust or brokerage operations experience

• Strong attention to detail and accuracy

• Effective problem solving, decision-making, organizational, multi-tasking, and prioritization skills

• Ability to work independently, proactively, innovatively, and creatively while expressing sound judgement

• Ability to work in a fast-paced, deadline driven environment

• Excellent verbal, written and interpersonal communication skills

• A BS/BA degree or higher in accounting, finance, or another business-related field

• Advanced Microsoft Office Skills

Job Expectations:

• Ability to work a hybrid in-office schedule

• Willingness to work on-site at a stated location

• This position is not eligible for Visa sponsorship

Posting Location:

• Minneapolis, Minnesota

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.

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.

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.