At Wells Fargo, we want to satisfy our customers’ financial needs and help them succeed financially. We’re looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you’ll feel valued and inspired to contribute your unique skills and experience.
Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.
Wealth and Investment Management (WIM) businesses build enduring client relationships through sound, thoughtful and objective advice. We help our clients by developing individualized plans for everything from retirement goals to business succession planning, to family legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, insurance and both individual and institutional retirement.
Responsible for operational transaction processing and approvals such as Service Requests, Additional Transactions and other operational functions for the Market/Complex as delegated by the Qualified Supervisor. Works closely with the Market/Complex Operations Manager to ensure that all operational functions within the Market/Complex are being properly executed. Acts as a point of contact for operational inquiries and escalations from associates in the Market/Complex and assists in resolving client inquiries. Support other members of the Operations team as needed to ensure consistent and efficient execution of the Firm s operational policies and procedures. Responsible for physical security deposits, entering handwritten ticket orders into the system, preparing client receipts, security re-registration and forwarding securities, if applicable, with any supporting documentation, to the Home Office. Processes and approves disbursements of client funds. Ensures that financial transactions are completed in a timely manner to reduce financial exposure to both the client and to the firm. Responsible for identifying and preventing potential risk-related transactions. Frequently interacts on routine/sensitive matters; opening and distributing branch mail and morning reports. Responsible for maintaining accurate records according to Corporate policy and Securities regulations. Assists Operations Manager in firm remediation projects and firm initiatives. A senior operations position in a market or complex reporting to a Market/Complex Operations Manager.Required Qualifications
- 3+ years of financial services operations experience
- Successfully completed FINRA Series 7 and 63 or 7 and 66 exams to qualify for immediate registration (or FINRA recognized equivalents)
- Strong client service skills
- Strong attention to detail and accuracy skills
- Effective organizational, multi tasking, and prioritizing skills
- Good verbal, written, and interpersonal communication skills
- Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment
- Knowledge and understanding of brokerage: systems or applications
- FINRA registration including Series 9/10 (or FINRA recognized equivalents)
- Brokerage operations experience
- Registration for FINRA Series 99 must be completed within 120 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
- Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition state registration, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA review process at the time of offer acceptance.
- For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required
- All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.
Relevant military experience is considered for veterans and transitioning service men and women.
Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.