Lead Securities Operations Representative - New Accounts Quality Control and BORD

About this role:

Wells Fargo is seeking a Lead Securities Operations Representative for the New Accounts Quality Control and BORD team within Wealth & Investment Management.

This team supports a high volume of Quality Control and BORD (account restriction) maintenance requests and oversight. They support researching and resolving escalations and manual account maintenance on restrictions.

In this role, you will:

• Support overall effectiveness of the team according to plans, monitor daily securities, and cash related production work

• Supervise daily production activities and staff

• Guide others on complex production improvement efforts and address procedural impacts

• Provide back-up for all department functions while providing coaching and feedback to staff

• Prioritize work and provide daily leadership to teams

• Contribute to solving corporate governance and address compliance issues for the department

• Lead the implementation of new or revised processes and procedures

• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals

• Interact with internal customers

• Receive direction from leaders and exercise independent judgement while developing the knowledge to understand function, policies, procedures, and compliance requirements

• Responsible for performing quality control reviews

• Oversees the account restrictions add and removal process (high risk process)

• Will identify trends and report on metrics to support the team's work.

Required Qualifications:

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

Desired Qualifications:

• Strong attention to detail and accuracy skills

• Microsoft Office skills

• Ability to navigate multiple computer systems, applications, and utilize search tools to find information

• Excellent verbal, written, and interpersonal communication skills

• Effective organizational, multi-tasking, and prioritizing skills

• Ability to work independently, proactively, innovatively, and creatively while exercising sound judgment

• Solid problem-solving skills

• Ability to process complex transactions and perform extensive research to resolve complex customer issues

• Ability to read, analyze and interpret documents/reports

• Microsoft Excel spreadsheets experience importing, exporting, and manipulating data

• Knowledge and understanding of Beta

• Ability to track and monitor project progress, identify project and process gaps, recommend controls

• and communicate progress to business leaders

• Ability to communicate effectively with business partners and project managers

• Knowledge and understanding of process flow or procedure writing

• Ability to assess current processes/procedures and make recommendations for efficiency

• Leadership experience including: coaching, training, and mentoring

• Must be able to perform under minimal supervision with some degree of independence combined with a strong emphasis on teamwork

• FINRA registration including Series 99 (or FINRA recognized equivalents)

Job Expectations

• Ability to work additional hours as needed

• Ability to be flexible with working hours

Posting Locations:

• 2801 Market St, St. Louis, MO

• 1525 W WT Harris Blvd, Charlotte, NC

Pay Range:

• $23.13 - $41.11 hourly

Posting End Date: 

*Job posting may come down early due to volume of applicants.

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

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 US: 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.

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.