Securities Operations Specialist

About this role:

Wells Fargo is seeking a Securities Operations Specialist to join the Account Transfers team within Wealth and Investment Management Operations. The team partners closely with financial advisors, branch personnel, internal business groups, counterparties, custodians, and market utilities to support the timely and accurate movement of client assets through ACAT and Non-ACAT transfer processes.

As a specialist, you will manage assigned transfer activities of low to moderate complexity, apply established policies and procedures, research exceptions, and coordinate resolution across business partners. You will help protect the firm and its clients by maintaining strong operational controls, meeting service expectations, identifying risk, and contributing to process improvements and modernization initiatives.

In this role, you will:

• Review, process, and monitor assigned incoming and outgoing ACAT and Non-ACAT transfer requests of moderate complexity from initiation through completion.
• Review transfer documentation, account registration, asset details, delivery instructions, and supporting records to determine whether requests are accurate, complete, and in good order.
• Research and resolve transfer exceptions, rejected requests, NIGO conditions, aged items, position discrepancies, and other processing issues within established procedures and authority.
• Apply working knowledge of account transfer policies, procedures, controls, service-level expectations, and regulatory requirements when making routine processing decisions.
• Exercise independent judgment when evaluating available information, selecting an appropriate course of action, and escalating matters that exceed assigned authority or present elevated operational, financial, regulatory, or client risk.
• Communicate clearly and professionally with financial advisors, branch personnel, internal operations teams, counterparties, and custodians to obtain information, resolve issues, and advance transfer requests.
• Maintain accurate and complete records, case notes, system updates, and supporting documentation in accordance with record-retention and control requirements.
• Monitor assigned workflow queues, transfer aging, service-level commitments, and daily production priorities; take timely action to prevent avoidable delays or client impact.
• Identify recurring defects, control gaps, and opportunities to reduce manual effort, improve quality, strengthen risk management, or enhance the client and employee experience.
• Provide practical recommendations and subject-matter input for procedural updates, testing, automation, and other initiatives that affect Account Transfers.
• Participate in implementation of new or revised processes, controls, systems, and business initiatives requiring coordination across operations, risk, compliance, technology, and business partners.
• Share knowledge with peers, support consistent execution of procedures, and serve as a resource for routine process questions within the assigned area of responsibility.

Required Qualifications

• • 2+ years of Securities Operations experience, or equivalent demonstrated through one or a combination of work experience, training, military experience, or education.

Desired Qualifications

• • Experience supporting outgoing and/or incoming ACAT and Non-ACAT account transfers, asset movement, or related brokerage operations.
  • Working knowledge of ACATS processing, transfer documentation, account registration, asset eligibility, transfer restrictions, and exception management.
  • Experience reviewing time-sensitive requests and resolving NIGO items, rejected transfers, aged cases, position differences, or other operational exceptions.
  • Experience with BETA, Advisor Gateway, DTCC/ACATS, Advisor gateway or comparable securities-processing and workflow platforms.
  • Ability to interpret and consistently apply policies, procedures, controls, and service-level requirements.
  • Demonstrated ability to prioritize multiple work items, conduct research, document decisions, and escalate risk appropriately.
  • Strong analytical, problem-solving, attention-to-detail, and written and verbal communication skills.
  • Ability to partner effectively across operations, risk, compliance, technology, business teams, and external counterparties.
  • Excellent communication skills with the ability to partner across operations, technology, and business teams.
  • Intermediate Microsoft Office skills, including Excel, Outlook, PowerPoint, and Word.

Job Expectations:

• • Ability to work a hybrid schedule, three (3) days in office and two (2) days, remote at posted location (2801 Market St, F & L Bldg, SAINT LOUIS, MO 63103)
  • Ability to work additional hours as needed
  • This position is not eligible for Visa Sponsorship

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.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability 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.