About this role:Wells Fargo is seeking a Senior Securities Operations Specialist. This role is critical for successfully executing activities related to hiring, onboarding, and system access provisioning for employees in the Investment Contact Center (ICC) within WIM Operations.
Some of the key responsibilities include:
- Support and/or coordinate the resources and activities required to successfully execute hiring plans within the Investment Contact Center (ICC).
- Follow and maintain documentation to accurately complete system access requests within the ICC.
- Collaborate with functional groups and partners across the company, including ICC leadership, Recruiting, Learning & Development, Technology teams, Workforce Management/Scheduling, and Security.
- Serve as on-site point of contact for new employees and contingent resources who are studying for FINRA licenses.
- Take ownership and work to resolve access issues ranging from simple to complex.
- Work quickly and accurately within a strong team dynamic to manage the tactical work responsibilities of the role.
In this role, you will:- 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 minimalize 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 operation teams and perform analysis for initiatives that support business strategies making decisions on matters with financial impact and risk
Required Qualifications:- 4+ years of Securities Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:- Knowledge of access provisioning tools and processes
- Experience onboarding new employees and/or contingent resources
- Experience working in a contact center or other complex/high volume production environment
- Knowledge and understanding of contact center environments and associated technologies
- FINRA registration including one or more of the following: FINRA Series 6, 7, 63, or 65
- Ability to meet deadlines, achieve goals, and work in a dynamic and complex environment, while balancing multiple priorities.
- Ability to communicate confidentially and professionally
- Ability to work effectively in structured, but flexible, adaptable, and changing contact center environment.
- Ability to follow policies, procedures, and regulations.
- Ability to work effectively, as well as independently, in a team environment.
- Ability to meet or exceed business goals and objectives, while fostering a team atmosphere.
- Ability to exercise independent judgment to identify and resolve problems.
- Must be adaptable to changing business needs.
- Intermediate Microsoft Office (Outlook, Excel, Word, PowerPoint, LiveMeeting and SharePoint) skills.
Job Expectations:- Create an exceptional experience for new employees, complete onboarding tasks, and act quickly to resolve issues that prevent successful onboarding and to ensure hiring targets are met.
- Responsible for system access, equipment procurement, and general technology support for ICC employees.
- Directly support initiatives that strengthen and simplify access provisioning processes and improve operational effectiveness.
- Be responsible for supporting contractors studying for licensing exams.
- Review, analyze and resolve moderately complex issues while leveraging solid understanding of the function, policies, procedures, and compliance requirements.
- Lead or participate in initiatives and support tasks aimed to improve the efficiency and effectiveness of onboarding and access provisioning.
- May provide work direction to lower-level staff.
- Complete off-boarding activities due to attrition of employees.
- Complete access reviews and certifications to ensure accuracy and provide supplemental information as needed to support system accesses.
- Maintain accurate documentation that supports onboarding and access provisioning of staff.
- Look for opportunities to standardize, simplify and reduce manual steps within the team.
- Present recommendations to develop and implement business performance improvement opportunities for managing risks of the business.
- Support licensing activities and act as the relationship manager for staffing agencies.
- Serve as the Business Resiliency Manager for the ICC.
- Hybrid work schedule at the posted location.
Pay RangeReflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.
$73,100.00 - $129,900.00
Benefits Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.
- 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
Posting End Date:19 May 2025
* Job posting may come down early due to volume of applicants. We Value Equal OpportunityWells 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 unit's risk appetite and all risk and compliance program requirements.
Applicants with DisabilitiesTo request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .
Drug and Alcohol PolicyWells 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.
