Securities Operations Associate

About this role:

Wells Fargo is seeking a Securities Operations Associate as part of the Documentation Preparation team within Wealth and Investment Management Operations. This team prepares estate documents for WIM Custom Loan Operations for pre-close, closing and performing regulatory due diligence for the business and Wells Fargo internal customers. Learn more about our career areas and lines of business at wellsfargojobs.com.

The Associate will be responsible for assembling, preparing and reviewing commercial closing documents for loans/transactions; the initial boarding and funding of deals/transactions/facilities onto accounting systems of record. This may include in depth review of collateral, legal agreements and credit approvals to ensure final executed details are captured accurately and regulatory and company requirements are met.

In this role, you will:

• Prepare documentation to facilitate the completion of client requested collateral change and credit limit reductions for Wealth Consumer products. Request maintenance as needed to fulfill modification requests. Effectively communicate with Bankers and collateral partners as needed.

• Perform a variety of servicing tasks, as needed, to support commercial/custom loans and lines of credit.

• Participate in low complexity lifecycle support tasks and help identify opportunities for process improvements within Securities Operations

• Review basic or tactical issues, policies or procedures for which answers can be quickly obtained, related to low risk tasks and deliverables with narrower impact

• Receive direction from manager and exercise judgment within defined parameters related to resolving situations on a full process within a trade environment, while developing understanding of various functions, policies, and procedures

• Provide information to, collaborate, and consult with peers, colleagues and managers, including internal and external customers, to resolve issues and achieve goals

• Build expertise in operational processes including client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, and general ledger reconciliation

• Assist in gathering data to support resolution of issues; review and analyze functional operational tasks that require research and evaluation

• Resolve low complexity escalated issues within the scope of responsibility in Security Operations

• Research low complexity business risks, provide input into policies, enhance customer satisfaction, and review time sensitive documents and transaction requests

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

• Contribute to implementation of projects, new or revised processes, and procedures that require coordination among operation teams and may perform analysis for initiatives that support business strategies

Required Qualifications:

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

Desired Qualifications:

• 6+ months of Wealth Management or Commercial Lending experience

• Knowledge and understanding of state, federal and regulatory compliance requirements

• Prior experience with documentation tools such as AFS, Hogan, Client Link

• Ability to navigate multiple computer systems, applications, and utilize search tools to find information

• Ability to process transactions and perform research to resolve escalated issues

• Ability to work independently, proactively, innovatively, and creatively while exercising sound judgement

• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment

• Ability to provide strong customer service and to develop customer relationships

• Strong analytical skills with high attention to detail and accuracy

• Excellent verbal, written and interpersonal communication skills

• Intermediate Microsoft Office skills

​Job Expectations:

• Ability to work hybrid schedule

• Willingness to work on-site at stated location on the job opening

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