At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

About this role:

Wells Fargo is seeking a Senior Securities Quality Assurance Operations Specialist within Securities Operations as a part of Corporate Investment Banking.

In this role, you will:

• Develop a thorough understanding of the Securities Operations platform and the impact of each team’s role in supporting the capital markets business

• Establish relationships with various stakeholders like, Finance, Operations groups, Middle Office and Technology for horizontal transparency surrounding business demands

• Actively participate in strategy conversations regarding the future state of specific vendor solutions, distributed ledger possibilities and any relevant new technology solution that may improve our workflow infrastructure and Controls

• Review and assess data related to exceptions or events, organize the material for presentation purposes and ultimately generate informational reports signaling cost/efficiency opportunities and/or potential risks and provide solutions (through Root cause analysis & Process Deep dives)

• Scrutinize data to determine trends and drivers of certain business events, providing senior leaders with decision making information 

• Ability to timely consume data from multiple sources and present ad hoc reporting

• Influence Securities Operations team members to embrace a culture of root cause analysis and self-identification of risk.

• Research new processes/business flows for data opportunities

• Perform and improve cost allocation model covering the various expenses incurred by Operations

• Liaison with team members regularly for purposes of strengthening legacy reports focusing on risk mitigation, operational synergies and/or operational enhancements

Required Qualifications, US:

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

Desired Qualifications

• Ability to work in a fast-paced deadline driven environment

• Strong presentation and motivational skills

• Strong knowledge and understanding of the capital markets operations business and/or accounting background with knowledge of reconciliation

• Experience in Risk & Controls and/or Operational Quality Assurance testing

• Effective organizational and prioritizing skills

• Excellent verbal, written, and interpersonal communication skills

• General awareness of creating projection/predictive reporting for front office business partners

• Preferred experience processing in Broadridge applications such as BPS, Gloss and Impact

• Historical evidence of “change management”

• Working knowledge of Prime Brokerage, Stock Loan and Tri-Party operations

• Experience in Metric Reporting

• Demonstrated ability to organize data into effective reporting solutions

• Experience in process enhancements through automation in VBA or otherwise

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.

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.