About this role:

Wells Fargo is seeking a Senior Securities Operations Representative

In this role, you will:

Collaborate with U.S. based QFC RK Data Team to implement tactical and strategic solutions to establish and administer Data Control Reports, which includes identifying data breaks, perform root cause analysis entailing deep dive, complex data analysis,  and remediate and/or escalate breaks. Develop procedures and workflows to support BAU processes around Data Controls and analysis and remediate and/or escalate breaks as well as help develop controls required to prevent future breaks.Proactively identify and raise data break issues to technology, business, compliance, upstream system owners and recommend clear options and recommendations that drive decision making toward resolution.Prioritize critical issues and coordinate communicating among senior leadership. Follow, and assist in developing, complex processes and procedural issues in a fast paced environment within firm deadlinesCoordinate efforts to consult and coordinate with technology, business, areas and development teams to gather requirements, drive design, and delivery of enhancements to data control reports and ensure deadlines are met.Team Lead in support functions that includes providing guidance and direction to junior staff, oversight of administrative and operational efforts to identify, analyze, and remediate exceptions, compliance issues, risks and gaps in processes.Consult with Legal, Compliance, Ops Risk, Technology, Business areas to establish and support strategic controls and ensure all adequate controls and processes are in place. Assist QFC RK U.S. based Data Team to drive systems/change initiatives, business continuity plans, and to identify development required to ensure legal and regulatory adherence.

Required Qualifications:

4+ 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:

3-5 years of experience in one or a combination of the following: Regulatory reporting, collateral, documentation, project management, business operations or strategic planning in financial services.Bachelor's degree, or a business-related field is strongly preferred.

Job Expectations:

Accurately review and remediate breaks, which includes, but is not limited to Dodd Frank, QFC Record keeping, QFC Resolution Stay and MiFID II and various legal notices covering swaps and trades.Working on daily BAU along with remediation processContribute to large scale planning related to process, procedures and efficiencies dealing with internal and industry related initiatives and deliverables.Identify and recommend opportunities for process improvement and risk control development.Review and analyze complex functional and operational tasks that require in-depth evaluation for scalability.

Posting End Date: 

14 Feb 2025

*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.

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.