Operations Manager

About this role

Wells Fargo is seeking an Operations Manager within Wealth and Investment Management Operations to lead the Trust and Brokerage Settlements team. This team is responsible for the timely and accurate settlement of trading activity, cash and securities reconciliations, operational controls, process improvements, testing, and operational readiness initiatives.

The Operations Manager will provide leadership and oversight for daily production activities while driving operational excellence, risk management, workforce development, and strategic transformation initiatives.

In this role, you will:

• Manage and develop a team responsible for securities settlement, cash processing, account transfers, reconciliations, operational controls, and related post-trade functions

• Lead daily operational execution to ensure timely and accurate settlement of trading activity across brokerage, trust, and custody platforms

• Oversee funding, cash movement, foreign exchange support, balancing, reconciliations, sanctions screening, and settlement exception management

• Drive process improvement, automation, and operational efficiency initiatives that reduce risk, improve accuracy, and create capacity

• Partner with Operations, Front Office, Technology, Risk, Compliance, Legal, Audit, and Finance teams to resolve complex operational issues and enhance end-to-end processes

• Monitor operational performance through metrics, scorecards, and reporting while identifying trends, risks, and opportunities for improvement

• Lead implementation of new processes, system enhancements, testing initiatives, and operational readiness activities

• Ensure adherence to policies, procedures, regulatory requirements, and internal control standards

• Manage escalations, operational incidents, aged breaks, settlement exceptions, and client-impacting issues while driving root cause analysis and corrective actions

• Support governance and risk management activities by identifying operational risks, strengthening controls, and partnering with risk and control functions

• Develop and coach team members while fostering a culture of accountability, collaboration, and continuous improvement

• Support organizational change initiatives, transformation efforts, and workforce modernization activities impacting the securities operations environment

• Provide leadership during audits, regulatory reviews, and control testing activities, ensuring timely responses and remediation of findings

• Influence business partners and stakeholders to achieve strategic goals while balancing client experience, operational effectiveness, and risk management objectives

Required Qualifications

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

• 2+ years of leadership experience

Desired Qualifications

• 5+ years’ experience within securities settlement, brokerage operations, trust operations, custody operations, account transfers, or post-trade processing functions

• 2+ years of leadership, supervisory, or team lead experience within operations, settlements, brokerage, trust, custody, or post-trade environments

• Demonstrated experience leading teams through operational change, process improvement, or transformation initiatives

• Strong knowledge of securities settlement workflows, cash payments, account transfers, reconciliations, and operational controls

• Proven ability to partner effectively with Front Office, Technology, Risk, Compliance, Audit, and Operations teams

• Experience identifying operational risk and implementing controls that improve accuracy, efficiency, and resiliency

• Experience leading user acceptance testing, system implementations, process redesign efforts, or operational readiness initiatives

• Strong analytical and problem-solving skills with the ability to make sound decisions in a fast-paced environment

• Experience utilizing reporting, metrics, and scorecards to manage operational performance

• Advanced Microsoft Excel and PowerPoint skills

Job Expectations

• Ability to work a hybrid schedule

• Willingness to work on-site at stated location

• This position is not eligible for Visa sponsorship

Posting Location

• Charlotte, North Carolina

US only: Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. FINRA Series 99 and/or Series 7 examinations, or equivalent must be completed within either a 90 or 180-day time period following commencement of employment, depending upon the number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required

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 unit’s 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, visit Disability 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.