Senior Securities Operations Specialist

About this role:

Wells Fargo is seeking a Senior Securities Operations Specialist as part of the Risk Service Programs, Conduct and Insights team within Wealth Investment Management Operations. This team aligns with the Risk and Regulatory group and serves as governance for the enterprise risk compliance programs within WIM Operations. The team is responsible for execution of risk program processes that includes performance oversight, control execution, compliance monitoring, and offering credible challenge. Learn more about our career areas and lines of business at wellsfargojobs.com .

The Senior Specialist will support complaints management, conduct risk and information security risk programs by assisting with build out new processes and controls to support access management oversight, improving on current program support framework, and executing what is already established. This role will partner with operations management and business partners on front line operational risk activities with a strong focus on enterprise business process management, policy management and self-assurance activities. This includes formulation of support approaches, effectiveness of support function, and performance improvement opportunities for the applicable business functions.

• Develop, implement, and execute reoccurring Self-Assurance activities and support other enterprise risk assessments such as Risk Control Self-Assessment (RCSA)
• Support cross functional groups to ensure comprehensive understanding of WIM Operations business process, control environment, tool/systems supporting process, and formal policies/procedures that align with key self-assurance activities (SAA)
• 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
• Review and analyze moderately complex operational tasks or challenges that require an in-depth evaluation of variable factors and translate moderately complex concepts into simplified solutions.
• 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
• Resolve moderately complex escalated issues within the scope of responsibility in Security Operations
• Research moderately complex business risks, influence policies, enhance customer satisfaction, and review time sensitive documents and transaction requests
• 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
• Partner with other risk support groups, program functional teams and business groups as appropriate

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

• 2+ years of Wealth and Investment Management experience
• 2+ years of Operational Risk, Change Management, and/or Quality Assurance experience
• Cross functional understanding of risk, policy management and controls (e.g. operations, market, client)
• Strong management reporting skills, ability to translate data into actionable information
• Strong ability to effectively multi-task, effectively manage multiple projects, and adapt to changing and competing priorities
• Ability to interact with all levels of an organization including ability to prepare required level presentations
• Ability to work in a fast-paced environment and operate successfully in a matrixed environment
• Knowledge of enterprise risk frameworks and related processes
• Excellent verbal, written, and interpersonal communication skills
• Strong analytical skills with high attention to detail and accuracy
• Advanced Microsoft Office skills

• Ability to work a hybrid schedule
• Willingness to work on-site at stated location on the job opening
• This position is not eligible for Visa sponsorship