Securities Operations Associate Manager

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About this role:

Wells Fargo Wealth and Investment Management (WIM) Operations is seeking a Securities Operations Associate Manager in the Check Processing department to lead a team handling check processing for the firm. The team is part of Wealth and Investment Management, and this leadership role closely partners with front office partners, Legal, Risk, Compliance and Control teams.

Additionally, this leader plays an integral role in issue management, establishment of check processing target operating models and resolution of escalated items. Learn more about our career areas and lines of business at wellsfargojobs.com

In this role, you will:

• Manage a team of specialists in transactional tasks ensuring quality and compliance in securities operations
• Provide support for being a first point of contact for all delivery tasks and escalations
• Identify opportunities for process improvement and risk control development
• Ensure team consistently meets delivery expectations and resolve issues related to reporting, career path and related activities for direct reports
• Collaborate and influence all levels of professionals including more experienced managers
• Lead team to achieve objectives
• Manage allocation of people and financial resources for securities operations
• Develop and guide a culture of talent development to meet business objectives and strategy

Required Qualifications:

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

Desired Qualifications:

• 2+ years of securities industry, brokerage and/or trust business experience
• 1+ year experience with BETA, SmartStation, SEI or other Trust applications
• Strong knowledge of check processing operations
• Process, procedure and control design or improvement experience
• Demonstrated experience with Issue Management
• Ability to develop and negotiate solutions to issues with partners or clients including escalations as needed
• Ability to interact with integrity and a high level of professionalism with all levels of customers, team members and management
• Strong analytical skills with high attention to detail and accuracy
• Proficient Microsoft Excel skills
• Team leading or management experience
• Excellent verbal, written, and interpersonal communication skills
• BA/BS degree or higher in business or finance

Job Expectations:

• Willingness to work in office 5 days at stated location on the job opening
• Registration for FINRA SIE and Series 99 must be completed within 120 days of hire date if it is not available for transfer upon hire
• Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position
• This position is not eligible for Visa sponsorship

Posting Location:

• 2801 Market St, F & L Bldg, St Louis, Missouri 63103

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.