Securities Operations Associate

About this role:

Wells Fargo is seeking a Securities Operations Associate

In this role, you will:

• Participate in a variety of assigned and ongoing business operations, establishing documentation guidelines and procedure audits to ensure success in meeting business goals and objectives
• Review regulatory changes or partner with regulatory change agents to proactively identify required updates
• Identify opportunities for process improvement by conducting root cause testing of all compliance and business metrics
• Determine areas of strength or Business Execution opportunity within defined scope of work
• Review and research strategies and action plans to establish effective processes while meeting performance metrics and policy expectations
• Utilize independent judgment to guide moderate risk deliverables
• Present recommendations to develop, implement, and monitor strategic approaches, effectiveness of support function, and business performance improvement opportunities for managing risks of the business
• Exercise independent judgment and provide guidance in diverse support functions and operations for a single business group within a line of business
• Collaborate and consult with leaders and executive management
• Provide work direction to less experienced Strategy and Execution staff

Required Qualifications,

• 2+ years of Securities Operations, Procedure Writing, or Documentation, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• Experience in Securities world (custodian, Broker dealer, Fund Accounting)
• Excellent written and Verbal communication skills

Desired Qualifications:

• Experience with HTML, JavaScript languages and other web-based tools to assist in web-publishing projects, including OpenText

• Finance, banking or Operational experience
• Excellent verbal, written, and interpersonal communication skills
• Experience documenting processes or procedures

• Maintain document library or repository and update tables in appropriate systems
• Review changes to business operations for potential impact to other documentation or resources
• Create, edit and format moderately complex to complex internal manuals, materials, or other documentation related procedures and policies
• Edit and publish moderately complex web content in accordance to standards
• Utilize knowledge of HTML, JavaScript languages, and other web-based tools to assist in web-publishing projects
• Conduct audience analysis and present recommendations for resolving moderately complex to complex problems and projects
• Assist others to resolve process gaps, providing input and suggestions based on observations
• Research, review and translate technical information to users
• Provide guidance to less experienced staff
• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
• Partner with subject matter professionals to understand business needs as it relates to procedures
• Edits technical documentation authored by others and ensures documentation is in compliance with internal standards and external regulations

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.