14 Securities Operations Jobs

Wells Fargo is seeking a Associate Securities Operations Representative In this role, you will: Support a variety of operational tasks for simple or routine securities Identify ways to improve the overall process Perform routine duties such as processing, reconciling transaction and research inquires Regularly receive direction from supervisor and escalate issues to more experienced roles Review less complex documents Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals Interact with internal customers Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements Required Qualifications: 6+ months of Security Operations experience, or equivalent experience demonstrated through one or a combination of the following: work experience, training, military experience, education

Commerce Graduate and/or MBA (Financial and/or Banking) Financial markets, products services Strong analytical skills, specifically analyzing financial records providing detailed technical commentary Proficiency in MS Office Required Candidate profile FINRA SIE, Series 6 or 7 Certification in Indian Stock Market courses (General Securities, Mutual Funds similar courses Canadian Securities Course or equivalent Exp RRSP, RSP, IRA, 401k and offerings Perks and benefits Perks and Benefits

About this role: Wells Fargo is seeking a Lead securities operations Representative. In this role, you will: Perform Reconciliation of advisory accounts and ensure accurate maintenance on the systems by adhering to the agreed service levels. Understanding the products and severity of the process which involves dealing with highly sensitive accounts. Additional functions of receiving notifications of deposits and/or withdrawals of cash and securities. Handling escalated requests requiring clarification & research to provide an accurate resolution. Liaising with portfolio managers regarding cash flows and active cash management Interaction with Financial Advisors, Investment Managers, Business counterparts to gather process/product related information. Regular connects with team to bridge process gaps, ensure procedures are upto date, ensure synergy within team members. Act as a SME to the process, guide the peers and team to provide any assistance needed. Supervise the team and ensure no breaches on SLA and quality. Support management with administrative activities, like metrics, pulse of team, assignment of tasks. Support and Train new joiners existing team members. Contribute towards process efficiencies, like simplification or enhancement. Contribute towards mitigating risk in process by implementing effective controls. Required Qualifications: 6+ years of Securities Operations experience, or equivalent experience demonstrated through one or a combination of the following: work experience, training, military experience, education Finance and Commerce graduates Required Qualifications for Europe, Middle East & Africa only: Experience in Securities Operations, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: Candidate should have good accounting Knowledge Excellent problem solving and analytical skills and numerical skills Effective Communication and Presentation Desirable to have experience of interacting with US counterparts Job Expectations: Working Hours: 6:30pm to 3:30am

Role & responsibilities : - Having sound knowledge in Banking/Stock Broking Operations. - Especially in the field of Securities Market - KYC, Helpdesk and Derivatives Operations Preferred candidate profile: - Graduate in any discipline Salary: Best in the Industry. No Bar for the deserving prospect Interested candidates may email their RESUME at - resume@smifs.com

About this role: Wells Fargo is seeking a Senior Securities Operations Representative In this role, you will: Perform a variety of operational tasks for complex securities or process extensive knowledge of systems Provide ideas for improving or implementing processes Perform moderately complex duties such as processing, researching inquires and reconciling transactions Review time sensitive documents Provide training or work direction to less experienced staff Address compliance and corporate governance issues for the department Lead or participate in projects Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals Interact with internal customers Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements 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, Excellent verbal, written, and interpersonal communication skills Strong analytical skills with high attention to detail and accurate Ability to quickly establish credibility to build and maintain effective working relationships Ability to take initiative and work independently with minimal supervision in a structured environment Flexible to work in different shifts

About this role: Wells Fargo is seeking a Senior Securities Operations Representative In this role, you will: Perform a variety of operational tasks for complex securities or process extensive knowledge of systems Provide ideas for improving or implementing processes Perform moderately complex duties such as processing, researching inquires and reconciling transactions Review time sensitive documents Provide training or work direction to less experienced staff Address compliance and corporate governance issues for the department Lead or participate in projects Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals Interact with internal customers Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements 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: Graduate in Any stream. MBA Finance would be added advantage.

About this role: Wells Fargo is seeking a Associate Securities Operations Representative In this role, you will: Support a variety of operational tasks for simple or routine securities Identify ways to improve the overall process Perform routine duties such as processing, reconciling transaction and research inquires Regularly receive direction from supervisor and escalate issues to more experienced roles Review less complex documents Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals Interact with internal customers Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements Required Qualifications: 6+ months of Security Operations experience, or equivalent experience demonstrated through one or a combination of the following: work experience, training, military experience, education

About this role: Wells Fargo is seeking an Associate Securities Operations Representative. In this role, you will: Support a variety of operational tasks for simple or routine securities Identify ways to improve the overall process Perform routine duties such as processing, reconciling transaction and research inquires Regularly receive direction from supervisor and escalate issues to more experienced roles Review less complex documents Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals Interact with internal customers Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements Required Qualifications: 6+ months of Security Operations experience, or equivalent experience demonstrated through one or a combination of the following: work experience, training, military experience, education Job Expectations: 0-1 years of experience in financial service Capital market Investment banking. Excellent communications skills. Experience on operations support. Candidates should be aware about corporate action income processing and fixed income. Good Excel MS office skills. Flexible for working hours. Analytical and problem-solving skills required.

In this role, you will: Perform various operational tasks on complex securities that require general knowledge of unit functions and systems Support securities operations Identify ways to improve the overall process Perform moderately complex duties such as processing, researching inquires and reconciling transactions Review time sensitive documents Receive direction from supervisor and coordinate situations involving other departments Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals Interact with internal customers Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements Required Qualifications: 2+ 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: Securities Operations experience, or equivalent experience demonstrated through one or a combination of the following: work experience, training, military experience, education Job Expectations: Interact with internal customers Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements

In this role, you will: Support a variety of operational tasks for simple or routine securities Identify ways to improve the overall process Perform routine duties such as processing, reconciling transaction and research inquires Regularly receive direction from supervisor and escalate issues to more experienced roles Review less complex documents Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals Interact with internal customers Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements Required Qualifications: 6+ months of Security Operations experience, or equivalent experience demonstrated through one or a combination of the following: work experience, training, military experience, education Required Qualifications for Europe, Middle East & Africa only: Experience in Securities Operations, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

About this role: Wells Fargo is seeking a Institutional Investment Operations Specialist In this role, you will: Participate in lifecycle support tasks for institutional trade initiatives and identify opportunity for process improvements Assist leadership in bringing individual or teams together in order to resolve complex issues Assist in client account onboarding, input and monitoring of cash payments, customer service, project support, funding operations, custodial operations, securities settlement services, structured loan operations, general ledger reconciliation, as well as, work to resolve confirmation and ISDA related issue Provide subject matter expertise on projects along with internal and industry related initiatives Review and analyze functional operational tasks that require research, evaluation, and exercise independent judgment to guide the deliverable Present recommendations for resolving complex situations and exercise independent judgement while developing expertise on functions, projects, internal and industry related initiatives Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals Required Qualifications: 2+ years of Institutional Investment Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: MBA/ Bachelors degree in Finance preferred 10 years of experience in the Securities Operations background preferably Ability to demonstrate effective analytical skillsdecision making skills Energetic individual who can work well under pressure and in a team environment with demanding deadlines Ability to identify areas of improvement and also formulate plans that enables positive change within a team environment Able to analyze and interpret data from both statistical and process efficiency standpoint Job Expectations: Take complete responsibility of monitoring daily functionality of Pre-Matching Process. Organizes work of team, assigns task, sets short-term priorities, monitors all activities and ensures timely and accurate completion of work. Escalate issues on priority and in a timely manner within the Operations group, Technology application support and Middle Office to ensure prompt resolution of exceptions/disputes. Candidate should have in-depth knowledge of Pre Matching, Trade Allocations, Affirmations/Confirmations in the US Domestic Market Perform Analysis of low Affirmation rates with counterparties and Client Outreach Should be competent in TAT Management, Process Improvements, Audits- Process/Transactional Level including adherence to SLAs Should be willing to work in night shift and also over weekends & US offs i.e. as per business demands Ensuring EOD that all queues are cleared/completed as per procedure. Understands needs and sensitivities of internal & external clients and proactively ensures these are met. Builds relationship with businesses and counterparties to ensure effective escalation and timely resolution of issues. Partner with Technology to identify/ resolve system issues and implement system enhancements to increase efficiency. Swiftly Identifies potential risks in operational processes; develops and implements controls to mitigate related risk. Sound & Strong Knowledge of Pre-Settlements/Settlements and trade life cycle This role warrants interaction with external clients like Clients, traders, middle office teams hence candidate should have excellent process and product knowledge Excellent articulation and communication skills (Written & verbal) Should be able to take decisions swiftly. Ability to lead, coach and train Junior & peer level team members Excellent analytical skills Ability to deliver against strict deadlines, should be able to operate under pressure and maintain calm demeanor while dealing with issues & situations Ability to work as back up to manager in his/her absence and handle team enquires Excellent email and time management skills. Competent in TAT Management, Process Improvements, Regulatory Compliance, Audits- Process/Transactional Level including adherence to SLAs Needs to periodically reviews all procedure documents and check list

In this role, you will: Perform various operational tasks on complex securities that require general knowledge of unit functions and systems Support securities operations Identify ways to improve the overall process Perform moderately complex duties such as processing, researching inquires and reconciling transactions Review time sensitive documents Receive direction from supervisor and coordinate situations involving other departments Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals Interact with internal customers Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements Required Qualifications: 2+ years of Securities Operations experience, or equivalent experience demonstrated through one or a combination of the following: work experience, training, military experience, education

About this role: Wells Fargo is seeking a Senior Business Execution Consultant In this role, you will: Lead support functions or operations for multiple business groups and contribute to large scale strategic initiatives Ensure efficiency, quality, cost effectiveness of solutions, and pipeline management relating to assigned operations Research moderately complex business, operational, and strategic initiatives that require analytical skills, basic knowledge of organizational strategy and Business Execution, and understanding of international business Work independently to make recommendations for support function by providing support and leadership Assist in the planning and execution of a variety of programs and initiatives that may include risk mitigation, efficiency, and customer experience Collaborate and consult with team leaders in developing project plans, policies and procedures Provide leadership in management of relationships and implementation of programs, services, and initiatives with cross functional business partners Required Qualifications: 4+ years of Business Execution, Implementation, or Strategic Planning experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Desired Qualifications: Excellent Analytical skills to provide logical outcomes to add value to the function. Risk Management and internal Audit expertise Once functional tasks have been reviewed, a similar analysis is performed on the sub-teams controls, metrics, depth charts, and liaison responsibilities. This is accomplished in a similar fashion by meeting with each team to discuss current state, paired with hands on review to determine opportunities for improvement. 4+ year experience in Securities Operations Maintain quality and relevance of the Policy and Procedures Stakeholder management and function as an SME for the function Excellent verbal and written communications skills Experience in Governance/ Policy / Compliance would be added advantage.

In this role, you will: Perform various operational tasks on complex securities that require general knowledge of unit functions and systems Support securities operations Identify ways to improve the overall process Perform moderately complex duties such as processing, researching inquires and reconciling transactions Review time sensitive documents Receive direction from supervisor and coordinate situations involving other departments Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals Interact with internal customers Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements Required Experience: 2+ years of Securities Operations experience, or equivalent experience demonstrated through one or a combination of the following: work experience, training, military experience, education. Experience in Securities Operations and movement of Securities and Cash in IRA And Brokerage Accounts. Desired Qualifications: Min bachelor's in commerce/ BBA, MBA in Finance and similar finance related qualifications will be advantageous. Job Expectations: Job expectations will be to review complex paperwork submitted by clients and process transactions involving both cash and securities. Liaison with ACAT Teams, Legal Teams, Risk Teams to resolve queries and complete asset movement from deceased accounts to Beneficiary Accounts. Have good exposure to MS-Excel which will be utilized in day-to-day workings. Have good knowledge of U.S Securities Markets and Financial Instruments which will be required in Asset Movement function for the Job Role. Have good working knowledge of IRS Regulations with regards to IRA Accounts and Brokerage Accounts. Have good, focused mindset to work in movement of Securities without causing errors ad misses due to complex nature of movement involved and securities valuation related to the market.