Securities Operations Specialist Alternative Investments

About this role:

Wells Fargo is seeking a Securities Operations Specialist as part of Alternative Investments within Wealth and Investment Management Operations. The Alternative Investments team is responsible for processing and servicing a variety of alternative investment products. It serves as a key point of contact for financial advisors investment strategists and internal business partners ensuring transactions are executed accurately efficiently and in accordance with established policies and regulatory requirements. Learn more about the career areas and lines of business at .

The Specialist will have a strong understanding of alternative investment products client service and operational processes with the ability to navigate multiple systems while managing inquiries escalations and complex transactions. This individual will actively contribute to process improvements development initiatives and help drive operational excellence through risk-focused decision making and adherence to Wells Fargos risk and control standards.

In this role you will:

• Participate in low to moderately complex lifecycle support initiatives and identify opportunity for process improvements within Securities Operations
• Review and analyze basic or tactical functional operational tasks or challenges that require research evaluation and selection of alternatives; exercise independent judgment related to low-to-medium risk deliverables
• Present recommendations for resolving low to moderately complex situations related to a full process within a trade environment while developing understanding of function policies procedures and compliance requirements
• Provide information to collaborate and consult with peers colleagues and managers including internal and external customers to resolve issues and achieve goals
• Develop 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 low to moderately complex escalated issues within the scope of responsibility in Security Operations
• Research low to moderately complex business risks provide input into 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
• Support overall effectiveness of the team according to plans; monitor daily securities and cash related production work
• Contribute and may lead implementation of projects 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:

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

Desired Qualifications:

• 1 year of Wealth Investment Management Operations experience
• Maintain clear understanding of Alternative Investment Products and process solutions
• Customer service focus with experience handling transactions across multiple systems
• Proficient with proactively sourcing acquiring building and maintaining relationships with clients and colleagues
• Strong verbal written and interpersonal communication skills
• Knowledge and understanding of Alternative Investment to actively manage issues and escalations
• Ability to be proactive innovative and creative in meeting client and enterprise needs
• Ability to make IS/FA calls and actively participate in the process development
• Knowledge and understanding of retail compliance controls risk management and loss prevention
• Ability to follow policies procedures and regulations
• High motivation with ability to successfully meet team objectives while maintaining individual performance
• Continued process improvement and product knowledge
• Adherence to Wells Fargo risk management culture

Job Expectations:

• This position offers a hybrid work schedule and will only consider the location listed
• This position is not eligible for Visa sponsorship
• This position is not eligible for relocation
• Ability to work additional hours as needed

Posting Location:

• 1525 W WT Harris Boulevard Charlotte North Carolina 28262-8522

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 units 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 visitDisability 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.