Wells Fargo


St. Louis, Missouri



Approximate Salary:

Not Specified

Position Type:

Full Time


415) 820-7800

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Senior Trading Assistant: Team Lead - Capital Markets Trading Order Room

Wells Fargo - St. Louis, Missouri

Posted: 10/20/2018

Job Description

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.

Wells Fargo Advisors (WFA) Capital Markets Trading Order Room has experienced significant changes in 2018. The team currently consists of three unique teams, each with their own distinctive functions and responsibilities. The Investment Advisory Order Desk receives and processes orders from external money managers. The Large Order Desk is responsible for reviewing equity orders that exceed the firm’s Large Order Policy prior to sending them to the open market. These team members also provide order entry support by phone for any issues with equity or option orders. The Order Room (formerly known as the Wire Room) is responsible for monitoring and maintenance of all of the firm’s open orders for equities and options and determining the reason for any exceptions.

The team is pleased to announce that due to the many changes within the group, we now have the opportunity to add a Senior Trading Assistant position. The team member in this role will function as a Team Lead supporting all processes of the Order Room. Primary responsibilities will consist of supervising the day-to-day activities of the teams with a focus on identifying opportunities for process improvements. The Senior Trading Assistant may act as a back up to the Operations Manager in the Order Room and assist with other duties within Capital Markets Trading as needed.

Additional responsibilities may include but are not limited to the following:

  • Identifying and mitigating risk
  • Using analytics to identify trends that negatively impact the teams and processes to improve them
  • Providing quality control and feedback to the team
  • Creating efficiencies within the teams’ work
  • First point of escalation for team member questions or issues
  • Providing department level reporting to management
  • Creating and/or updating policy and procedure documentation
  • Performing testing for various systems
  • Subject matter expert (SME) for all team functions
  • Workflow management and ensuring all orders are processed according to expectations
  • May assist in the supervision of the Order Room as needed
  • Project management and/or process improvement initiatives
  • Recognize and respond quickly to potential system issues


  • After submitting your application, please monitor your e-mail for future communications
  • Once your application is received, Wells Fargo will make initial contact with you via e-mail
  • Please ensure your contact information (e-mail address and phone number) is current in your Wells Fargo Jobs Profile
  • If your contact information has changed, please update prior to applying to this position
  • Based on the volume of applications received, this job posting may close prior to the indicated close date. If you do not apply prior to the closing of this posting, we encourage you to apply for other opportunities with Wells Fargo
  • Due to a high volume of inquiries, please do not contact the hiring manager listed. Any inquiries sent to the hiring manager listed may not receive a response

Wells Fargo will not sponsor visas for these positions and will not hire individuals whose work eligibility is due to their F-1 or other student visa status such as Optional Practical Training (OPT). Candidates must have authorization to work in the United States on a permanent basis.

Required Qualifications

  • 2+ years of trading desk experience, capital markets experience, or a combination of both
Desired Qualifications

  • Trading desk or capital market experience
  • Ability to understand, operationalize, and assist in the structuring of complex financing transactions
  • Strong attention to detail and accuracy skills
  • Customer service focus with experience actively listening, eliciting information, comprehending customer issues/needs, and recommending solutions
  • Ability to learn and assimilate information from multiple people and sources
  • Intermediate Microsoft Office (Word, Excel, and Outlook) skills
  • Ability to navigate multiple computer systems, applications, and utilize search tools to find information
  • Microsoft Excel spreadsheets experience importing, exporting, and manipulating data
  • Ability to assess current processes/procedures and make recommendations for efficiency
  • Ability to identify potential operational issues and legal risks
  • Ability to manage multiple project and process implementations
  • Ability to supervise by distributing work and providing work direction
  • Ability to take on a high level of responsibility, initiative, and accountability
  • Knowledge and understanding of securities industry and securities processing/operations
  • Leadership experience including; coaching, training, and mentoring
  • 3rd party vendor application production support experience
  • Knowledge and understanding of advisory products and services
Job Expectations

  • For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required
  • Registration for FINRA Series 63 (or 66) must be completed within 180 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
  • Registration for FINRA Series 7 must be completed within 180 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.

  • 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.

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