Senior Securities Operations Specialist - WIM Operations

About this role:

Wells Fargo is seeking a Senior Securities Operations Specialist as part of the Wealth and Investment Management Operations team.

Learn more about our career areas and lines of business at wellsfargojobs.com .

Key Responsibilities:

• Maintain end-to-end ownership of assigned reconciliation processes, ensuring they operate effectively within defined control frameworks.
• Serve as the primary escalation point for complex reconciliation issues, coordinating resolution across teams as needed.
• Ensure compliance with internal policies, regulatory requirements, and enterprise risk standards.
• Lead execution of the Risk and Control Self-Assessment (RCSA) for reconciliation processes, ensuring thorough documentation and timely updates.
• Support Business Continuity Planning (BCP) by maintaining accurate procedures and participating in readiness activities.
• Conduct supervisory reviews and contribute to the enhancement of control design and performance monitoring.
• Identify opportunities to streamline reconciliation workflows, reduce manual touchpoints, and improve exception handling.
• Collaborate with internal partners to implement sustainable process improvements that enhance accuracy, timeliness, and control effectiveness.
• Support the integration of automation tools such as Xceptor and Ops Work Bench, ensuring alignment with operational and control objectives.
• Act as a mentor and subject matter resource for peers and junior staff, helping to elevate team performance and understanding of control expectations.
• Provide continuity and stability during periods of organizational change or leadership transition.
• Demonstrate leadership readiness by modeling accountability, initiative, and operational excellence.

• 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
• 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
• 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
• Exercise independent judgment in understanding trade settlement workflow controls to minimize 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 operations teams and perform analysis for initiatives that support business strategies making decisions on matters with financial impact and risk

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

• Experience related to depository or mutual fund assets
• Familiarity with SEI Trust 3000, Frontier, Ops Work Bench, BETA
• Strong attention to detail and accuracy skills
• Intermediate 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
• 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
• FINRA Licensing Series 99

• Ability to work a hybrid schedule
• Willingness to work on-site at stated locations
• This position is not eligible for Visa sponsorship
• This position is not eligible for relocation assistance

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement