Securities Operations Associate

Required Qualifications:

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

Desired Qualifications:

• Client Account Maintenance:
  Manage day-to-day maintenance of securities market brokerage client accounts, including updates to client details, account modifications, and periodic reviews to ensure accuracy and compliance.
• Client Onboarding & Documentation:
  Handle end-to-end onboarding of new brokerage clients by collecting, verifying, and processing KYC and regulatory documentation in line with internal policies and market regulations.
• Data Management & Quality Control:
  Maintain and monitor client and account data across brokerage systems, ensuring data integrity, timely updates, and adherence to data governance standards.
• Operational Support for Brokerage Services:
  Support operational activities related to securities market brokerage clients, addressing service requests, resolving account-related queries, and coordinating with internal teams for issue resolution.
• Regulatory & Compliance Adherence:
  Ensure all client account activities and onboarding processes comply with relevant regulatory requirements, internal controls, and audit standards, supporting periodic reviews and audits.
• Manage end-to-end maintenance of brokerage client accounts, including account updates, modifications, periodic reviews, and closures in line with operational guidelines.
• Execute client onboarding activities, including KYC verification, documentation validation, account setup, and regulatory checks aligned with securities market standards.
• Ensure accurate and consistent client and account data management across brokerage platforms, maintaining high data quality and governance standards.
• Provide operational support for securities brokerage services by addressing client requests, resolving discrepancies, and coordinating with internal stakeholders.
• Monitor and ensure compliance with regulatory, audit, and internal control requirements, supporting reviews, audits, and process enhancements.

Job Expectations:

• 5+ years of experience in securities market operations, brokerage services, client servicing, or related financial services roles.
• Strong working knowledge of securities markets, brokerage operations, account lifecycle management, and client servicing processes.
• Familiarity with KYC, AML, regulatory, and compliance requirements related to brokerage accounts.
• Experience working with client data management systems, brokerage platforms, and operational workflows.
• Strong attention to detail, analytical skills, and the ability to manage multiple priorities in a fast-paced environment.
• Effective communication skills for coordinating with internal teams and responding to client-related queries.
• Experience in global or regional brokerage operations (equities, derivatives, or other securities).
• Exposure to regulatory frameworks and audits related to securities markets.
• Prior experience in process improvement or operational optimization initiatives.

Posting End Date:

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.

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