Securities Operations Associate

Wells Fargo

Securities Operations Associate supporting Wealth and Investment Management Operations in brokerage portfolio implementation. Collaborating on trade execution and operational oversight while ensuring investment strategies are maintained.

Posted 7/17/2026full-timeCharlotte • Montana, North Carolina • 🇺🇸 United StatesJuniorMid-LevelWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in Securities Operations and Brokerage Customer Service, with a strong focus on risk management, compliance, and operational efficiency. Proficient in analyzing processes and implementing improvements using Lean Six Sigma methodologies and emerging automation tools.

Highest-signal resume keywords

Securities Operations ExperienceBrokerage Customer Service ExperienceLean Six Sigma MethodologiesOperational Process ImprovementMicrosoft Excel Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Operational Process AnalysisRisk MitigationData IntegrityTrade Issue ResolutionCompliance Adherence

Soft Skills

Analytical SkillsInterpersonal CommunicationTeam CollaborationAdaptabilityJudgment Decision-Making

Tools & Technologies

APLBetaSmart StationAlteryxXceptorPowerApps

Industry Keywords

Securities OperationsBrokerageOperational ExcellenceCustomer SatisfactionProcess Improvement

About the role

Key responsibilities & impact

Participate in low to moderately complex lifecycle support initiatives and identify opportunity for process improvements within Securities Operations
Review and analyze basic or tactical functional operational tasks or challenges that require research, evaluation, and selection of alternatives; exercise independent judgment related to low-to-medium risk deliverables
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
Provide information to, collaborate, and consult with peers, colleagues and managers, including internal and external customers, to resolve issues and achieve goals
Develop expertise in the following operational processes including onboarding, funding, deposits, withdrawals, terminations, and tax-driven events such as harvesting and raise-cash requests
Investigate and resolve trade, reconciliation, and processing issues, partnering across operations, technology, and trading teams to ensure accurate and timely resolution
Research low to moderately complex business risks, provide input into policies, enhance customer satisfaction, and review time sensitive documents and transaction requests
Maintain strong focus on controls, risk mitigation, and compliance, supporting accurate execution and adherence to regulatory and firm standards
Drive operational efficiency and process improvement, identifying opportunities to streamline workflows, reduce risk, and enhance scalability within the UMA platform
Contribute to implementation of projects, new or revised processes, and procedures that require coordination among operation teams and perform analysis for initiatives that support business strategies making decisions on matters with financial impact and risk
Demonstrate ownership of operational requests, issues, and exceptions through complete resolution while partnering with stakeholders to ensure timely and accurate outcomes

Requirements

What you’ll need

6+ months of Securities Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
6+ months of Brokerage Customer Service experience
Exposure to Wells Fargo managed account systems such as: APL, Beta and Smart Station
Ability to learn and apply emerging power automation platform tools(e.g. Alteryx, Xceptor, PowerApps)
Demonstrated knowledge of Lean Six Sigma methodologies to analyze operational processes, eliminate inefficiencies, and support continuous improvement initiatives
Demonstrated ability to identify root causes, evaluate multiple solutions, and recommend appropriate actions to resolve operational issues
Ability to adapt to evolving technology platforms, operational processes, and business priorities in a dynamic environment
Strong risk and control mindset with a focus on accuracy, data integrity, and operational excellence
Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
Ability to make timely and independent judgment decisions while working in a fast-paced and results-driven environment
Strong analytical skills with high attention to detail and accuracy
Excellent verbal, written, and interpersonal communication skills
Intermediate Microsoft Excel skills

Benefits

Comp & perks

Hybrid work schedule (Tues-Thurs in office, Mon and Fri from home)