Securities Operations Service Specialist 4 - Advisory Operations Quality Control And Review Team

Wells Fargo Saint Louis , MO 63150

Posted 2 months ago

Job Description:

Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as "Personal Cell" or "Cellular" in the contact information of your application.

At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired.

Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.

Wealth & Investment Management, or WIM, is one of the United States' leading providers of financial and investment services. WIM provides a full range of personalized wealth management, investment, and retirement products and services to meet clients' unique needs and help them achieve financial goals. Our mission is to help clients pursue their financial goals with confidence. We accomplish this by:

o Building enduring client relationships through sound, thoughtful, and objective advice

o Developing individualized plans for clients to help meet their financial objectives

o Helping clients build, manage, preserve, and transition their financial resources and wealth

WIM serves clients through the following businesses:

o Wells Fargo Private Bank serves high-net-worth individuals and families.

o Wells Fargo Advisors provides investment advice and guidance to clients through more than 13,200 full-service financial advisors and referrals from more than 5,450 licensed bankers.

o Wells Fargo Asset Management brings together a strategic balance of investment capabilities to serve the investment needs of institutions, financial advisors, and individuals worldwide.

Through Wells Fargo Private Bank, WIM is also a leading provider of trust, investment, and fiduciary services, including personal trust services and a number of specialized wealth services designed to meet the diverse needs of high-net-worth clients.

Wells Fargo Advisor's (WFA) Advisory Operations & Portfolio Implementation team in St. Louis, MO, is responsible for the effective execution and support of Advisory Account set-up and maintenance tasks for WFA's Financial Advisors and branch staff. Team members support both call center and customer service requests by performing a variety of operational tasks for complex securities, cash related transactions, and/or processes.

Advisory products are a strategic focus of the firm, and adequate operational support is required to facilitate that strategy and enable growth opportunities. In order to ensure we continue to deliver outstanding service while minimizing risk to the firm we have created a team dedicated to control and quality activities. This is an exciting opportunity for detail oriented and quality focused Securities Operations Service Specialist 4s (SOSS 4s) to be a part of the Advisory Quality Control and Review Team. This role will look across the many functions within the Advisory group to identify trends and issues from a broader, more holistic perspective and will partner with Risk Consultants in supporting proactive risk reviews and remediation projects. The ideal candidates for these roles will possess basic knowledge of Advisory products (billing methodologies, trading, and regulations) as well as strong analytical thinking and problem-solving aptitude. Previous experience creating and delivering reports is a plus!

Responsibilities may include but are not limited to the following:

  • Creating, executing, and reviewing daily/weekly/quarterly control reports for effectiveness

  • Presentation of results to teams/leaders

  • Billing reviews

  • Remediation of identified issues

  • Supporting quarterly technology releases by participating in testing to ensure systems are functioning as expected

  • Recommendations for process improvements

  • Production and/or maintenance of metric reporting

  • Creating, reviewing, and updating policies and procedures

  • Identification of trends

  • Communicating with department leadership

  • May participate in projects

Required Qualifications

  • 4+ years of experience in one or a combination of the following: customer service, operations, financial services, accounting, business processing, analytical, financial, clerical, or call center demonstrated through work or military experience
  • 1+ year of brokerage operations experience

Desired Qualifications

  • Strong attention to detail and accuracy skills

  • Intermediate Microsoft Office skills

  • Ability to navigate multiple computer systems, applications, and utilize search tools to find information

  • Excellent verbal, written, and interpersonal communication skills

  • Effective organizational, multi tasking, and prioritizing skills

  • Ability to work independently, proactively, innovatively, and creatively while exercising sound judgment

  • Solid problem solving skills

  • Ability to assess current processes/procedures and make recommendations for efficiency

  • Experience reading, analyzing, and interpreting documents/reports

  • Ability to articulate issues, risks, and proposed solutions to various levels of staff and management

  • Ability to communicate trends and impacts to mid-senior level management

  • Ability to identify and evaluate exposures and potential risks

  • Ability to independently provide summary and recommendations on operational data

  • Ability to produce high level summary analysis reports in a meaningful and understandable format

  • Ability to research and report on a variety of issues using problem solving skills

  • Exposure to Wells Fargo managed account trading systems such as: APL, MMS, Beta, Working SEI, Advent/Moxy, or Factset

  • Strong analytical skills including analyzing complex data

  • Experience identifying inefficiencies, finding opportunities to streamline business processes, and implementing change

  • Knowledge and understanding of advisory products and services

  • Ability to grasp complex business issues quickly, recommend solutions, and drive for resolutions

  • Experience capturing and documenting complex business and functional requirements which may include workflows, process maps, or business processes

  • A BS/BA degree or higher in business administration, economics, accounting, finance, or other business related field

Job Expectations

  • Ability to work additional hours as needed

Salary Information

The salary range displayed below is based on a Full-time 40 hour a week schedule.

MO-Saint Louis: Min: $41,800 Mid: $58,000 Max: $74,200

Street Address

MO-Saint Louis: 1 N Jefferson Ave - Saint Louis, MO


All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.Relevant military experience is considered for veterans and transitioning service men and women.Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.

Benefits Summary


Visit for benefits information.

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Securities Operations Service Specialist 4 - Advisory Operations Quality Control And Review Team

Wells Fargo