Securities Operations Manager - Account Opening and Maintenance

Wells Fargo • Charlotte, NC • 4h ago

About this role:

Wells Fargo is seeking a Securities Operations Manager as part of Account Opening and Maintenance team within Wealth and Investment Management. The Operations Manager will be managing an onshore and offshore team that supports account opening and maintenance for the end client. Learn more about our career areas and lines of business at wellsfargojobs.com .

In this role, you will:

Manage a team of specialists in transactional tasks ensuring quality and compliance in securities operations

Provide support for being a first point of contact for all delivery tasks and escalations

Identify opportunities for process improvement and risk control development

Ensure team consistently meets delivery expectations and resolve issues related to reporting, career path and related activities for direct reports

Collaborate and influence all levels of professionals including more experienced managers

Lead team to achieve objectives

Manage allocation of people and financial resources for securities operations

Develop and guide a culture of talent development to meet business objectives and strategy

Provide accountability for the development of operational strategy and may serve on line of business project teams

Develop the operational infrastructure on financial accounting, tax reporting and client services

Perform specific duties including accurate financial reporting of funds, sourcing of proprietary fund vendors, and ensuring operational due diligence of external investment managers

Identify opportunities for process improvement and risk control development

Ensure effective operational due diligence of external investment managers

Manage administration of third party distribution of alternative investments through wealth and brokerage divisions

Make decisions and resolve issues regarding company wide tasks that steer the company's operational direction

Develop policies and procedures for functions with low to moderate complexity within scope of responsibility

Collaborate and influence all levels of professionals including managers

Lead team to achieve objectives

Manage allocation of people and financial resources for securities operations

Mentor and guide talent development of direct reports and assist in hiring talent

Required Qualifications:

5+ years of Securities Operations experience, or equivalent experience demonstrated through one or a combination of the following: work experience, training, military experience, education

2+ years of leadership experience

Desired Qualifications:

4+ years of experience working with brokerage/trust account (SmartStation, BETA, SEI) systems

2+ year of experience supporting account opening and maintenance

Experience working with financial DataFeeds, including data validation and exception handling

Proven organizational, multi-tasking, and prioritizing skills, as well as the ability to influence and negotiate

Proven analytical and problem-solving skills, along with the ability to work independently and/or as a member of a high-performance team against aggressive deadlines

Ability to motivate staff to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment

Ability to interact with all levels of an organization, including management

Excellent verbal, written, and interpersonal communication skills

Leadership skills including coaching, training, and mentoring

Advanced Microsoft Office skills

Job Expectations:

Registration for FINRA SIE and Series 99 must be completed within 120 days of hire date if it is not available for transfer upon hire

Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position

Ability to work hybrid in-office schedule, additional hours and shifts as needed

This position is not eligible for Visa sponsorship

Posting End Date:

7 Jun 2026

*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 (https://www.wellsfargojobs.com/en/diversity/disability-inclusion/) .

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy (https://www.wellsfargojobs.com/en/wells-fargo-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.

Req Number: R-548490

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