Securities Operations Specialist - Investment Manager Relations
- Compensation
- Not disclosed
- Location
- CHARLOTTE, NC
- Work setup
- Hybrid
- Seniority
- Not specified
- Employment
- Not specified
- Experience
- 2+ years
- Category
- Operations
- Posted
Skills
Must have
- 2+ years of Securities Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Nice to have
- Demonstrated experience leveraging Alteryx, Xceptor, or similar automation solutions to drive process efficiency and operational improvements.
- 1+ year of trust, brokerage and/or securities operations experience
- 1+ year of settlement-related experience
- Strong attention to detail and accuracy skills and solid problem-solving skills
- Ability to work independently, proactively, and innovatively, and creatively while exercising sound judgment
- Customer service focus with the ability to listen to customer needs and recommend solutions
- Excellent verbal, written, and interpersonal communication skills
- Effective organization, multitasking, and prioritizing skills
- Intermediate Microsoft Office skills
Full description
About this role:
Wells Fargo is seeking a Securities Operations Specialist as part of the Investment Manager Relations (IMR) within Brokerage and Trust Trade Settlements in Wealth and Investment Management Operations.
This team serves as a critical partner across the trade lifecycle and securities custody environment, supporting investment managers, custodians, and internal business partners to facilitate timely trade settlement, resolve operational exceptions, maintain account and market connectivity, and safeguard client assets. Team members work closely with Client Solutions, Trade Exceptions, Domestic and Global Settlements, custodians, and transfer agents to mitigate operational risk, ensure accurate transaction processing, and deliver an exceptional client experience.
The Operations Specialist will be responsible for investigating and resolving trade and account-related issues, supporting account onboarding and standing settlement instructions, facilitating communication with investment managers and custodians, and ensuring the timely resolution of settlement-related exceptions.
Additionally, the team performs detailed reviews of documentation, monitors cash and security movements, reconciles asset activity, and ensures compliance with operational controls, regulatory requirements, and risk management standards.
This role requires strong analytical, problem-solving, and relationship management skills, along with the ability to manage multiple priorities in a fast-paced environment while maintaining a high degree of accuracy. The ideal candidate will demonstrate sound judgment, attention to detail, and a commitment to continuously improving processes that support both operational effectiveness and client experience.
In this role, you will:
- Participate in low to moderately complex lifecycle support initiatives and identify opportunity for process improvements within Securities Operations
- Review and analyze moderately complex operational tasks and challenges related to trade settlements and investment manager support.
- Present recommendations for resolving low to moderately complex situations related to a full process within a trade environment while developing understanding of function, policies, procedures, and compliance requirements
- Collaborate and consult with peers, business partners, investments managers to resolve issues and achieve business objectives.
- Develop expertise in the following operational processes including client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, and general ledger reconciliation
- Investigate and resolve low to moderately complex escalated issues within the scope of responsibility of Investment Manager Relations.