Securities Operations Specialists - Account Opening & Maintenance, Wells Fargo

Wells Fargo

Location:
United States, Salt Lake City

Category:
Finance

Contract Type:
Not provided

Salary:

Not provided

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Job Description:

Wells Fargo is seeking a Securities Operations Specialists in Account Opening & Maintenance in Business Operations as part of Transactions & Processing division. The Account Opening and Maintenance (AOM) team is responsible for supporting Financial Advisors and their staff with account opening and maintenance questions. Effectively support our clients by responding to a high volume of incoming inquiries, review new account documentation for good order and research and resolve complex client onboarding questions.

Job Responsibility:

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 client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, and general ledger reconciliation
Resolve low to moderately complex escalated issues within the scope of responsibility in Security Operations
Research low to moderately complex business risks, provide input into 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
Support overall effectiveness of the team according to plans
monitor daily securities and cash related production work
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

Requirements:

2+ years of Securities Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
2+ years of Brokerage Operations experience
Bachelor's Degree
Strong attention to detail and accuracy skills
Intermediate Microsoft Office (Word, Excel, PowerPoint, Outlook) skills
Relevant experience in systems enhancement or data analytics roles within an operational environment
Proficiency in data analysis tools (e.g. Alteryx, Tableau, Power Bi, SQL, Python)
Ability to navigate multiple computer systems, applications, and utilize search tools to find information
Effective organizational, multi-tasking, and prioritizing skills
Ability to work independently, proactively, innovatively, and creatively while exercising sound judgment
Solid problem-solving skills
Ability to process complex transactions and perform extensive research to resolve complex customer issues
Ability to read, analyze and interpret documents/reports
Microsoft Excel spreadsheets experience importing, exporting, and manipulating data
Knowledge and understanding of Beta
Ability to download metrics and client profile updates
Ability to track and monitor project progress, identify project and process gaps, recommend controls and communicate progress to business leaders
Ability to communicate effectively with business partners and project managers
Knowledge and understanding of process flow or procedure writing
Ability to assess current processes/procedures and make recommendations for efficiency
Leadership experience including coaching, training, and mentoring
Must be able to perform under minimal supervision with some degree of independence combined with a strong emphasis on teamwork
Excellent verbal, written, and interpersonal communication skills

Nice to have:

2+ years of Brokerage Operations experience
Bachelor's Degree
Strong attention to detail and accuracy skills
Intermediate Microsoft Office (Word, Excel, PowerPoint, Outlook) skills
Relevant experience in systems enhancement or data analytics roles within an operational environment
Proficiency in data analysis tools (e.g. Alteryx, Tableau, Power Bi, SQL, Python)
Ability to navigate multiple computer systems, applications, and utilize search tools to find information
Effective organizational, multi-tasking, and prioritizing skills
Ability to work independently, proactively, innovatively, and creatively while exercising sound judgment
Solid problem-solving skills
Ability to process complex transactions and perform extensive research to resolve complex customer issues
Ability to read, analyze and interpret documents/reports
Microsoft Excel spreadsheets experience importing, exporting, and manipulating data
Knowledge and understanding of Beta
Ability to download metrics and client profile updates
Ability to track and monitor project progress, identify project and process gaps, recommend controls and communicate progress to business leaders
Ability to communicate effectively with business partners and project managers
Knowledge and understanding of process flow or procedure writing
Ability to assess current processes/procedures and make recommendations for efficiency
Leadership experience including coaching, training, and mentoring
Must be able to perform under minimal supervision with some degree of independence combined with a strong emphasis on teamwork
Excellent verbal, written, and interpersonal communication skills

Additional Information:

Job Posted:
June 09, 2025

Expiration:
June 21, 2025

Employment Type:

Fulltime

Work Type:

Hybrid work

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Securities Operations Specialists - Account Opening & Maintenance