Securities Operations Representative

6 months ago

Bengaluru, India Wells Fargo Full time

**About this role**:
Wells Fargo is seeking a Securities Operations Representative...

**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

**Required Qualifications, US**:

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

**Required Qualifications, International**:

- Experience in Securities Operations, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

**Desired Qualifications**:

- Min Bachelors In Commerce/ BBA. MBA in Finance and similar finance related qualifications will be advantageous.

**Job Expectations**:

- Job expectations will be to review complex paperwork submitted by clients and process transactions involving both cash and securities.
- Liaison with ACAT Teams, Legal Teams, Risk Teams to resolve queries and complete asset movement from deceased accounts to Beneficiary Accounts.
- Have good exposure to MS-Excel which will be utilized in day to day workings.
- Have good knowledge of U.S Securities Markets and Financial Instruments which will be required in Asset Movement function for the Job Role.
- Have good working knowledge of IRS Regulations with regards to IRA Accounts and Brokerage Accounts.
- Have good focused mindset to work in movement of Securities without causing errors ad misses due to complex nature of movement involved and securities valuation related to the market.

**We Value Diversity**

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.

**Drug and Alcohol Policy**

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.

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