About this role:

Wells Fargo is seeking a Wells Fargo is seeking a Senior Securities Operations Specialist for our Operational Risk Services Team. The team sits within the Risk & Regulatory Group which oversees eight vertical disciplines that provide support across WIM Operations to ensure compliance with legal, regulatory, and industry standards, strengthen the control infrastructure, minimize losses, and deliver an effective client experience. The team also helps the organization proactively identify, assess, and manage risk through the strengthening their Control and Supervision environments. This is primarily through support for end-of-day checklists, incident capture, transactional risk reviews, sample testing and support for the RCSA program. The team also oversees the Operational Risk Event (ORE) program, an internal Incident Capture Tool (ICT), Key Risk Indicators (KRI), Issue Management credible challenge, and provides End-User Computing Tools (EUCT) policy support. As a Senior Securities Operations Specialist, you will play a key role in identifying and implementing process improvements that strengthen our control infrastructure and elevate the client experience. You’ll collaborate across teams to resolve escalated issues, lead strategic initiatives, and contribute to risk mitigation efforts.

In this role, you will:

• Lead or participate in moderately complex lifecycle initiatives and support tasks and act as a participant in large-scale planning and deliverables; identify opportunity for process improvements within Securities Operations

• Apply deep knowledge of Mutual Funds Operations and/or Alternative Investment Operations to improve workflows and reduce risk.

• Independently resolve moderately complex issues on a full process within a trade environment while leveraging solid understanding of the function, policies, procedures, and compliance requirements; may lead team to meet deliverables

• Collaborate and consult with peers, colleagues, and mid-level managers to resolve issues and achieve goals; may lead projects, teams or serve as a mentor for lower-level staff

• Manage 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

• Research moderately complex business risks, influence 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

• Contribute to overall effectiveness of the team according to plans; monitor daily securities and cash related production work

• Lead or contribute to implementation of projects and 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

Required Qualifications:

• 4+ years of Securities Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• 5+ years of experience in Mutual Funds Operations

• 3+ years of experience in Alternative Investment Operations

• Experience using the BetaNXT securities processing system

• Proven change management experience

• Strong analytical and problem-solving skills with a passion for continuous improvement

• Ability to break down complex business questions into data-driven solutions

• Skilled in identifying inefficiencies and implementing automated solutions to improve performance.

• Demonstrated leadership in cross-functional initiatives and risk mitigation efforts

• Ability to quickly learn and adapt to change

• Demonstrated interest in staying current with data tools, platforms, and best practices

• Ability to clearly document processes, logic, and assumptions to support transparency and scalability

• Flexible to work according to business requirements

• Skilled in setting priorities, planning, and organizing key deliverables

• Ability to work independently and meet deadline

• Team-oriented mindset with flexibility to meet evolving business needs

• Comfortable working across teams to gather requirements, share insights, and deliver actionable outputs

Job Expectations:

• Ability to work a hybrid schedule

• 1525 W WT Harris Blvd, Charlotte, NC 28262

As part of the Risk and Regulatory group, this role leads moderately complex lifecycle initiatives and support tasks and acts as a participant in large-scale planning and deliverables.

Emphasis placed on ability to independently resolve moderately complex issues on a full process within an operations environment while leveraging solid understanding of the function, policies, procedures, and compliance requirements.

Lead or contribute to implementation of projects and 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.

Identifies opportunity for process improvements within Securities Operations. Review and analyze moderately complex operational tasks or challenges that require an in-depth evaluation of variable factors inclusive of risks and controls.

Collaborate and consult with peers, colleagues and mid-level managers to resolve issues and achieve goals; may lead projects, teams or serve as a mentor for lower-level staff.

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.

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.