Securities Operations Associate

Wells Fargo is seeking a Securities Operations Associate within the Brokerage Portfolio Implementation team as part of WIM (Wealth and Investment Management) Operations division. Learn more about the career areas and lines of business at wellsfargojobs.com.

This team supports the Personalized UMA (Unified Managed Accounts) Multi-Sleeve Advisory Program, providing oversight, request handling and overlay trading for 70,000+ client accounts. The team is responsible for implementing and maintaining model-driven portfolios at scale, ensuring that client accounts are aligned to investment strategies As an associate in this group, you will serve as a critical control point between portfolio strategy, trading execution, and operational oversight.

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 onboarding, funding, deposits, withdrawals, terminations, and tax-driven events such as harvesting and raise-cash requests

• Investigate and resolve trade, reconciliation, and processing issues, partnering across operations, technology, and trading teams to ensure accurate and timely resolution

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

• Maintain strong focus on controls, risk mitigation, and compliance, supporting accurate execution and adherence to regulatory and firm standards

• Drive operational efficiency and process improvement, identifying opportunities to streamline workflows, reduce risk, and enhance scalability within the UMA platform

• Contribute to 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

• Demonstrate ownership of operational requests, issues, and exceptions through complete resolution while partnering with stakeholders to ensure timely and accurate outcomes

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 Brokerage Customer Service experience

• Exposure to Wells Fargo managed account systems such as: APL, Beta and Smart Station

• Ability to learn and apply emerging power automation platform tools(e.g. Alteryx, Xceptor, PowerApps)

• Demonstrated knowledge of Lean Six Sigma methodologies to analyze operational processes, eliminate inefficiencies, and support continuous improvement initiatives

• Demonstrated ability to identify root causes, evaluate multiple solutions, and recommend appropriate actions to resolve operational issues

• Ability to adapt to evolving technology platforms, operational processes, and business priorities in a dynamic environment

• Strong risk and control mindset with a focus on accuracy, data integrity, and operational excellence

• Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important

• Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment

• Strong analytical skills with high attention to detail and accuracy

• Excellent verbal, written, and interpersonal communication skills

• Intermediate Microsoft Excel skills

Job Expectations:

• Willingness to work on-site as stated location on the job opening (6:30 or 7am start to 3pm or 3:30pm end)

• This position offers a hybr