Securities Operations Representative for Wellstrade Control Group
Wells Fargo
About this role:
Wells Fargo is seeking a Securities Operations Representative.
In this role, you will:
- Receive, review, approve or reject service requests in Smart Station related to asset movement of clients' brokerage accounts. Transaction types include: IRA distributions & Contributions, Journal Transfers, Check Disbursements, ACHs and any other asset movements like setting up of on-demand, periodic, or auto sweep instructions, journal exceptions, and any other asset movements not covered by usual service requests.
- Manually enter asset movement service requests in Smartstation for IRA Processing and Middle Office review and approval.
- Meet performance delivery on performance metrics and service level agreements which include but not limited to individual attendance, schedule adherence, productivity, and quality check targets for calls and processing.
- Consistently take and execute instructions, follow through on agreed action items in all areas of responsibility, actively engage on performance or development discussions, and demonstrate accountability on pre-assigned or real-time workload as dictated by business needs.
- Achieve effective risk management through compliance to policy & procedure, completion of regulatory courses, and to timely escalate any incidents or issues that have the potential to cause or have already caused adverse impacts to the client or firm.
- Complete daily deliverables which include but not limited to service request tracking, client contact logging, and updating of system issue tracker.
- Support inbound calls for Investment Contact Center and Wells Fargo Advisors FA.
- Receive and respond to emails or instant messages from Wells Fargo Advisors and Client Associates on clarifications related to the asset movement service requests.
Required Qualifications:
- 2+ years of Securities Operations experience, or equivalent experience demonstrated through one or a combination of the following: work experience, training, education
Desired Qualifications:
- Completed bachelor's degree in any course
- Blended experience in customer service and processing
- Experience in customer service and demonstrates ability to anticipate customer’s needs
- Excellent problem solving, analytical and technical skills with ability to apply critical judgment and come up with effective decisions.
- Strong verbal and written communication skills and proficiency for detailed documentation with ability to validate work.
- Ability to adapt to a fast paced environment and perform under pressure with a high motivation and able to meet stringent deadlines with strong sense of urgency and results and detail orientation.
- Excellent Interpersonal skills - people and process management
- Wiling to work on permanent night shift schedule that follow US holidays
- Amenable to 100% onsite reporting in Five/Neo Building 31st Street Bonifacio Global Taguig City
Job Expectations:
- The Securities Operations Rep for the Field Services Control team is responsible for processing asset movement service requests for Automated Clearing House (ACH) on demand transfers and Check disbursement.
- The SOR will be responsible for reviewing various systems and documents to confirm the validity and accuracy of the transfer and the availability of assets in the client’s accounts to accommodate the transfer/check request.
- The SOR will be responsible for identifying any problems with a transaction and working with the requestor to remedy the issue providing strong customer service as part of their role.
Posting End Date:
18 Nov 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.
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.