Securities Operations Associate-Brokerage Job at Wells Fargo (Bengaluru)

Job Description

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 Responsibility

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
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

Requirements

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
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

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Securities Operations Associate-Brokerage

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