Senior Securities Operations Representative

1 month ago

Charlotte, North Carolina, United States Wells Fargo Full time

About this role:

Wells Fargo is seeking a Senior Securities Operations Representative for the Annuity Operations team within Wealth & Investment Management. This team supports the financial advisors and front office with new business, annuity liquidation, and post issue activity.

The Senior Representative will be responsible for conducting annuity solutions cases, researching and negotiate with insurance carriers. Learn more about our career areas and lines of business at .

In this role, you will:

  • Support overall effectiveness of the team according to plans, monitor daily securities, and cash related production work
  • Supervise daily production activities and staff
  • Guide others on complex production improvement efforts and address procedural impacts
  • Provide back-up for all department functions while providing coaching and feedback to staff
  • Prioritize work and provide daily leadership to teams
  • Contribute to solving corporate governance and address compliance issues for the department
  • Lead the implementation of new or revised processes and procedures
  • Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
  • Receive direction from leaders and exercise independent judgement while developing the knowledge to understand function, policies, procedures, and compliance requirements
  • Acts as a primary point of contact for complex, time sensitive, and escalated issues from Financial Advisors, internal departments, external third-party vendors and insurance carriers, and team members within the team.
  • Responsible for training, completing assigned projects, and updating policy and procedure documentation.
  • Additionally, during times of production volume surges, this employee will assist by performing production and service tasks, which include taking telephone calls and processing to ensure service level agreements (SLAs) are maintained.
  • Responsible for managing and distributing the workload for employees.

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

Desired Qualifications:

  • 2+ years of Brokerage or Annuity operations experience
  • 1+ year of Team Leading experience
  • 2+ years of Data Collection and Reporting experience
  • Strong analytical skills with high attention to detail and accuracy
  • Ability to navigate multiple computer systems, applications, and utilize search tools to find information
  • Excellent verbal, written, and interpersonal communication skills
  • Ability to work independently, proactively, innovatively, and creatively while exercising sound judgment
  • Leadership experience including: coaching, training, and mentoring
  • Knowledge and understanding of Beta
  • Experience meeting high production and quality standards
  • Ability to process complex transactions and perform extensive research to resolve complex customer issues
  • Experience importing, exporting, and manipulating data using Microsoft Excel
  • Ability to manage multiple project and process implementations
  • Ability to track and monitor project progress, identify project and process gaps, recommend controls and communicate progress to business leaders
  • Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important

Job Expectations:

  • Ability to work additional hours and different shifts as needed
  • Must be able to work at location listed on posting
  • This position is not eligible for Visa Sponsorship

Posting Locations:

  • Charlotte NC

Posting End Date:

30 Jul 2024

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

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

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 US: 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.

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.

Company: WELLS FARGO BANK

Req Number: R-386416

Updated: Sat Jul 27 00:56:17 UTC 2024

Location: CHARLOTTE,North Carolina


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