Wf
Securities Operations Specialist - Client Reporting
MINNEAPOLIS, MN
H1B sponsorship available$32k-$48kDetected 9 hours ago
CybersecuritySOC OperationsComplianceExcelAuditingProcess ImprovementResearchCommunicationMicrosoft Office
About the 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.
Responsibilities
- Perform quality control and audit reviews of client statements, trade confirmations, and prospectus mailings to ensure regulatory and procedural compliance.
- 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 low to moderately complex lifecycle support initiatives and identify opportunity for process improvements within Securities 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
- Maintain documentation and records for all mailings in accordance with supervisory procedures and audit requirements
- 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
- Wells Fargo maintains a drug free workplace.
- Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.
Requirements
- 2+ years of experience in client reporting operations or related functions (e.g., statement processing, regulatory mailings).
- 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.
- Bachelor's degree in business, Finance, or related field.
- 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.
- Exposure to audit processes and quality control frameworks.
- Series 7 or other FINRA License holder.
Compensation
- 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
- Health benefits
- Disability benefits
- Life insurance, critical illness insurance, and accident insurance
- Parental leave
- Critical caregiving leave
- Commuter benefits
- Tuition reimbursement
- Adoption reimbursement
- 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.
Company info
- Provide information to, collaborate, and consult with peers, colleagues and managers, including internal and external customers, to resolve issues and achieve goals
Equal opportunity
- We Value Equal Opportunity
- equal opportunity employer.
- To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.
Visa & Work Authorization
- This position is not eligible for Visa sponsorship
This listing is sourced directly from Wf's careers page and normalized into a canonical job model.