Securities Operations Specialist - Client Reporting

About this role:

Wells Fargo is seeking a Securities Operations Specialist to join our Client Reporting team. This role is responsible for executing and auditing client communications, including statements, trade confirmations, prospectus mailings, and ad hoc client correspondence. The ideal candidate will bring a strong operational mindset, a commitment to accuracy, and a collaborative approach to process improvement.

In this role, you will:

• Perform quality control and audit reviews of client statements, trade confirmations, and prospectus mailings to ensure regulatory and procedural compliance.
• Coordinate and execute ad hoc mailings, including Quick Turn Letters (QTLs), fiscal summaries, and 401(b) letters, in partnership with business owners and third-party vendors
• Monitor and reconcile prospectus activity, including suppression logic, unfulfilled obligations, and file transmissions to/from Broadridge.
• Maintain documentation and records for all mailings in accordance with supervisory procedures and audit requirements
• Support process improvement initiatives and contribute to the development and maintenance of standard operating procedures (SOPs).
• Collaborate with internal stakeholders (e.g., Compliance, Legal, Technology) to ensure timely and accurate delivery of client communications.
• Participate in internal audits and provide documentation and responses as needed
• Participate in low to moderately complex lifecycle support initiatives and identify opportunity for process improvements within Securities Operations
• Review and analyze basic or tactical functional operational tasks or challenges that require research, evaluation, and selection of alternatives; exercise independent judgment related to low-to-medium risk deliverables
• Present recommendations for resolving low to moderately complex situations related to a full process within a trade environment while developing understanding of function, policies, procedures, and compliance requirements
• Provide information to, collaborate, and consult with peers, colleagues and managers, including internal and external customers, to resolve issues and achieve goals
• Resolve low to moderately complex escalated issues within the scope of responsibility in Security Operations
• Research low to moderately complex business risks, provide input into policies, enhance customer satisfaction, and review time sensitive documents and transaction requests
• Contribute and may 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

Required Qualifications:

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

Desired Qualifications:

• 2 years of experience in client reporting operations or related functions (e.g., statement processing, regulatory mailings).
• Strong attention to detail and ability to manage multiple priorities in a deadline-driven environment.
• Proficiency in Microsoft Excel, Word, and Outlook; experience with workflow tools and document repositories.
• Familiarity with regulatory requirements related to client communications (e.g., SEC, FINRA).
• Experience with Broadridge systems or similar third-party mailing platforms.
• Exposure to audit processes and quality control frameworks.
• Bachelor’s degree in business, Finance, or related field.
• Series 7 or other FINRA License holder.

Job Expectations:

• Ability to work a hybrid schedule, three (3) days in office and two (2) days remote.
• Willingness to work on-site at posted location
• This position is not eligible for Visa sponsorship

Location:

• 550 S 4th St MINNEAPOLIS, MN 55415

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.

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:

*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.

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.