Securities Operations Representative- Class action

4 weeks ago

Bengaluru, India WELLS FARGO BANK 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:
  • Candidates with 2+ years of overall work experience having closely worked on Asset servicing function with Excellent communications skills.
  • Candidates are required to have strong understanding of the Class action, risk areas associated with the process and ability to resolve the issues/escalations diligently.
  • Responsibilities may include conducting legal research, drafting legal documents, communicating with clients, and assisting with case preparation for trail.
  • Candidate also required a global proxy knowledge on managing proxy voting activities for a company on Broadridge. Responsibilities may include researching and analyzing proxy, making voting recommendations based on company policies and guideline. Engaging with shareholders and proxy advisory firm to ensuring compliance with regulatory requirements.
  • Experience in Securities Operations, Fee Billing, Payment processing, anything within securities industry or in Investment Banking will be an added advantage.
Posting End Date:
28 Nov 2024
*Job posting may come down early due to volume of applicants.

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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.

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