Securities Operations Associate Jobs in Minnesota

About this role:

Wells Fargo is seeking a Securities Operations Associate Manager within the Money Movement Request Management organization.

In this role, you will:

• Manage a team of individuals processing money movement requests ensuring quality and compliance in securities operations
• Provide support for being a first point of contact for all delivery tasks and escalations
• Identify opportunities for process improvement and risk control development
• Ensure team consistently meets processing expectations and resolve issues related to reporting, career path and related activities for direct reports
• Collaborate and influence all levels of professionals including more experienced managers
• Lead team to achieve strategic objectives
• Manage allocation of people and financial resources for securities operations
• Develop and guide a culture of talent development to meet business objectives and strategy

Required Qualifications:

• 4+ years of Securities Operations experience, or equivalent experience demonstrated through one or a combination of the following: work experience, training, military experience, education
• 1+ years of Leadership experience

Desired Qualifications:

• Experience in money movement, request and service management.
• Experience in data analytics, reference data and strategic change.
• Expertise in Microsoft based tools
• FINRA series 99/7 or must be willing to obtain within 90 days

Job Expectations:

• Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. FINRA Series 7/99 examinations, or equivalent must be completed within either a 90 or 180-day time period following commencement of employment, depending upon the number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements, 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 licensing 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 is required.
• Ability to work a hybrid schedule, three (3) days in office and two (2) days remote.
• Willingness to work on-site at posted location (550 S 4th St, MINNEAPOLIS, MN 55415)
• This position is not eligible for Visa sponsorship

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incident

Pay Range

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.

Posting End Date:

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

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.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visitDisability Inclusion at Wells Fargo.

Drug and Alcohol Policy

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

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.