Securities Operations Manager for Account Opening and Maintenance

About this role:

Wells Fargo is seeking a Securities Operations Manager for Account Opening and Maintenance

In this role, you will:

• Manage team of alternative investment operations managers and analysts
• Provide accountability for the development of operational strategy and may serve on line of business project teams
• Develop the operational infrastructure on financial accounting, tax reporting and client services
• Perform specific duties including accurate financial reporting of funds, sourcing of proprietary fund vendors, and ensuring operational due diligence of external investment managers
• Identify opportunities for process improvement and risk control development
• Ensure effective operational due diligence of external investment managers
• Manage administration of third party distribution of alternative investments through wealth and brokerage divisions
• Make decisions and resolve issues regarding company wide tasks that steer the company's operational direction
• Develop policies and procedures for functions with low to moderate complexity within scope of responsibility
• Collaborate and influence all levels of professionals including managers
• Lead team to achieve objectives
• Manage allocation of people and financial resources for securities operations
• Mentor and guide talent development of direct reports and assist in hiring talent

Required Qualifications:

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

Desired Qualifications:

• Experience in datamanagement
• Account opening and maintenance

Job Expectations:

• Willingness to work in a shift (6.30PM IST to 3.30AM IST)
• US only: Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. FINRA Series 7 and 63 examinations, or equivalent must be completed within either a 90 or 180-day time period following commencement of employment, depending upon the number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required

• Expertise in Microsoft-based tools
• Experience in data analytics e.g. Power BI and Tableau
• Experience in automation, e.g. Cloud, Robotics, Machine Learning, AI

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.

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.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our 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.