Senior Securities Operations Representative - Account Opening & Maintenance (AOM)
Wells Fargo
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See open jobs at Wells Fargo.See open jobs similar to "Senior Securities Operations Representative - Account Opening & Maintenance (AOM)" Out for Undergrad.Wells Fargo is seeking a Senior Securities Operations Representative in Business Operations as part of Transactions & Processing division. Learn more about the career areas and lines of business at wellsfargojobs.com.
The Account Opening and Maintenance (AOM) team is responsible for supporting Financial Advisors and their staff with account opening and maintenance questions. They 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.
In this role, you will:
Perform a variety of operational tasks for complex securities or process extensive knowledge of systems
Support Call Service Center
Provide ideas for improving or implementing processes
Perform moderately complex duties such as processing, researching inquires and reconciling transactions
Review time sensitive documents
Provide training or work direction to less experienced staff
Address compliance and corporate governance issues for the department
Lead or participate in projects
Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
Interact with internal customers
Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
Provides training to new employees
Produces and navigates daily/weekly/monthly reporting including management level reporting related to volume tracking
Will provide suggestions on process and/or system enhancements identified through metric reporting, trend analysis and quality control accuracy rates
Will handle and resolve escalated issues
Will be responsible for proactively identifying and notifying management of any procedural impacts related to fluctuations in volume or other factors
Required Qualifications:
4+ years of Securities Operations experience, or equivalent experience demonstrated through one or a combination of the following: work experience, training, military experience, education
Required Qualifications, International:
Experience in Securities Operations, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
2+ years of Brokerage Operations experience
Strong attention to detail and accuracy skills
Microsoft Office skills
Ability to navigate multiple computer systems, applications, and utilize search tools to find information
Excellent verbal, written, and interpersonal communication skills
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 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.
Job Expectations:
Ability to work additional hours as needed
Ability to be flexible with working hours
Posting Location:
550 South Tryon Street, Charlotte, North Carolina 28202
Posting End Date:
20 Jun 2024*Job posting may come down early due to volume of applicants.
We Value Diversity
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.
This job is no longer accepting applications
See open jobs at Wells Fargo.See open jobs similar to "Senior Securities Operations Representative - Account Opening & Maintenance (AOM)" Out for Undergrad.