Securities Operations Associate / Security Pricing

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About this role:

Wells Fargo is seeking aSecurities Operations Associateto support theSecurity Master Pricing function withinWealth & Investment Management Operationsas part ofWholesale Operations. TheSecurities Operations Associate will work across all Security Master initiatives; primary responsibilities will include validating and updating pricing securities on the BETA platform.

TheSecurity Master Pricing department is accountable for security pricing on second largest file held at the firm – the Security Master file. The team is responsible for securities not supported by a vendor. The team responds to requests sent from the field and from various internal departments that include inquiries and validation. Additionally, the team works daily, weekly, and monthly reports, completing manual updates to securities that are not updated by automated vendor feeds.

In this role, you will:

• Adhere to established policies, procedures, controls, and risk management practices; address compliance and corporate governance matters and exercise judgment within defined parameters while developing knowledge of applicable functions, policies, procedures, and compliance requirements
• Collaborate and consult with internal partners, colleagues, managers, and customers to provide consistent operational support, resolve issues, and achieve goals
• Conduct and monitor daily securities production activities, including complex securities operations, applying extensive knowledge of systems and processes to ensure timely and accurate execution
• Identify opportunities to improve operational processes and efficiency, and lead or participate in projects to implement new or revised processes and procedures across operations teams
• Perform operational tasks for complex securities and support trade lifecycle activities, applying extensive knowledge of systems and judgment within defined parameters to review time-sensitive documents and transaction requests and ensure accurate execution
• Provide mentorship, technical guidance, and training to less experienced staff
• Perform moderately complex operational duties, including processing and reconciling transactions and researching, analyzing, and resolving operational issues, exceptions, inquiries, and escalations

Required Qualifications:

• 6+ months of securities operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Excellent verbal, written, and interpersonal communication skills

• Experience with securities transaction processing, trade support, settlement, reconciliation, account servicing, and asset movement activities
• Experience supporting securities, brokerage, wealth management, or related financial services operations
• Ability to manage multiple priorities in a high-volume environment while maintaining accuracy, quality, attention to detail, and service standards
• Customer service and collaboration skills, with the ability to support customer transactions and partner effectively with internal and external stakeholders
• Knowledge of client onboarding, cash and funding operations, custodial operations, securities settlement, structured loan operations, or general ledger reconciliation
• Knowledge of operational risk, controls, regulatory requirements, and compliance standards applicable to financial services operations
• Strong analytical and problem-solving skills, with the ability to research and analyze operational issues, resolve routine exceptions, and determine appropriate actions within defined parameters

• Intermediate Microsoft Office skills

• Experience using securities processing systems, brokerage platforms, or related tools to support transaction processing, reporting, and reconciliation activities such as: BETA

Job Expectations:

• Ability to work additional hours as needed

• Adhere to standards outlined with written policy as well as applicable State and Federal regulations

• Relocation assistance is not available for this position

• This position is not eligible for Visa sponsorship

• Willingness to work on-site at stated location on the job opening

Posting Location:

• 550 S. Tryon Street, Charlotte, NC 28202

IMPORTANT INFORMATION: 

• AFTER SUBMITTING YOUR APPLICATION, PLEASE MONITOR YOUR E-MAIL FOR FUTURE COMMUNICATIONS
• Once your application is received, Wells Fargo will make initial contact with you via e-mail
• Please ensure your contact information (e-mail address and phone number) is current in your Wells Fargo Jobs Profile
• If your contact information has changed, please update prior to applying to this positionBased on the volume of applications received, this job posting may be removed prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo.

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.

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.

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Wells Fargo maintains a drug free workplace.  Please see ourDrug and Alcohol Policy to learn more.

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