About this role:
Wells Fargo is seeking a Securities Operations Representative.
The Customer Identification Program (CIP) team is responsible for the verification/validation of all new accounts and/or new parties establishing a brokerage account through Wells Fargo Advisors. This process is a key component of the firm's Anti-Money Laundering Program.
The Customer Identification Program- Securities Ops Service Specialist 2 will perform a variety of operational tasks for requests related to client's cost basis information that requires extensive knowledge of unit functions and systems. Primary duties will include reviewing and verifying customer information and documents . Secondary duties are taking in calls, answering emails via cipmailbox and Service Requests via Smartstation.
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In this role, you will:
- Perform various operational tasks on complex securities that require general knowledge of unit functions and systems
- Support securities operations
- Identify ways to improve the overall process
- Perform moderately complex duties such as processing, researching inquires and reconciling transactions
- Review time sensitive documents
- Receive direction from supervisor and coordinate situations involving other departments
- Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
- Interact with internal customers
- Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
- 2+ years of Securities Operations experience, or equivalent experience demonstrated through one or a combination of the following: work experience, training, military experience, education
- Excellent problem solving, analytical and technical skills with ability to apply critical judgment and come up with effective decisions.
• Strong verbal and written communication skills and proficiency for detailed documentation with ability to validate work.
• High proficiency with Microsoft Program
• Ability to adapt to a fast paced environment and perform under pressure with a high motivation and able to meet stringent deadlines with strong sense of urgency and results and detail orientation.
• Ability to plan, prioritize and execute a body of work with minimal supervision.
• Exceptional research, data entry and exception handling skills.
• Flexibility to work in night shifts, or weekends/holidays if deemed necessary by the business.
• Possess an impeccable reputation for integrity, accuracy, consistency and business acumen.
• Highly analytical and keen to details
• Familiarity with banking documents
- Night shift fixed, US Holiday, weekends off
30 Dec 2024
*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.