About this role:Wells Fargo is seeking a Lead Securities Operations Specialist as a part of the Regulatory Reporting Team within Wealth and Investment Management Operations. This team is responsible for is responsible for ensuring the accurate and timely delivery of reporting to the regulators aligned with the WIM business (e.g. FINRA, SEC, OCC, etc.). In addition, the team will support Operations in the rollout of associated reporting changes, responses to regulators and audit.
The Lead Specialist will drive complex lifecycle initiatives and operational excellence within Securities Operations as a strategic leader. This role plays a critical part in shaping cross-functional initiatives with broad organizational impact, identifying opportunities for process improvement, and delivering high-quality outcomes in a dynamic environment. Learn more about our career areas and lines of business at wellsfargojobs.com .
In this role, you will:- Lead complex lifecycle initiatives and support tasks, including those that are cross-functional with broad impact, and act as key a participant in large-scale planning and deliverables; identify opportunity for process improvements with high-risk advisory based products
- Review and analyze complex multi-faceted, larger scale or longer-term operational tasks or challenges that require an in-depth evaluation of multiple factors including intangibles or unprecedented factors
- Make decisions in complex and multi-faceted situations related to a full process within a trade environment while leveraging solid understanding of the function, policies, procedures, and compliance requirements that influence or lead team to meet deliverables and drive new initiatives
- Strategically collaborate and consult with peers, colleagues and mid-level to senior managers to resolve issues and achieve goals; may lead projects, teams or serve as a mentor
- Manage and develop expertise in the following operational processes including client account onboarding, funding operations, custodial operations and general ledger reconciliation
- Resolve complex escalated issues within the scope of responsibility in Security Operations
- Research complex business risks, develop policies, enhance customer satisfaction, and review time sensitive documents and transaction requests
- Exercise independent judgment in supporting ongoing business activities and objectives and influence workflow controls to minimalize the effects of operational breakdowns
- Lead overall effectiveness of the team according to plans; monitor daily securities and cash related production work as needed
- 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
- Support other business unit activities as needed or required
Required Qualifications:- 5+ years of Securities Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:- 5+ years of Brokerage Operations experience with a strong understanding of security products
- 5+ years of process improvement and risk management experience in a business transformation environment
- Ability to effectively collaborate across departmental boundaries to reach optimal solutions for project initiatives
- Maintains a continuous process improvement mindset
- Strong rapport building and ability to work in a matrixed environment
- Highly effective communication skills and people leadership skills
- Ability to lead complex projects both technical and non-technical in nature
- Ability to take ownership over business processes and team and takes initiative to proactively address risk, enhance efficiencies and drive a meaningful client experience
- Successful completion and registration of FINRA Series 99 or FINRA equivalents
Job Expectations: - Ability to work a hybrid in-office schedule
- Willingness to work on-site at stated location
- This position is not eligible for Visa sponsorship
Posting 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.
$110,000.00 - $179,000.00
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:25 Sep 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.
