EGS Securities Ops Srvc Mgr 1
Wells Fargo
Bangalore, India
2d ago

About the Role

Wells Fargo Brokerage Ops is seeking for a candidate to lead the WFA Ops team in WFI&P. The candidate will manage a team up to 15 FTE’s within Brokerage Ops, which performs various back office & middle office functions, which involves Trade processing, Settlements, Asset Servicing, Reconciliation, Income processing etc.

Process deals with stringent cutoffs and tight deadlines on a daily basis so the candidate should possess the sense of urgency and willing to go beyond the expectations.

This candidate will be primarily responsible for meeting the processing SLA’s, provide leadership and managing various stakeholders.


  • Manage a variety of operational tasks of complex security related activity and balancing tasks that require the reconciliation of daily transactions;
  • may have extensive business partners, such as various Mutual Fund companies and / or Vendor contacts.

  • Manage Settlement exception clearance without being aged beyond the SLA.
  • Process deals with High Value transaction, which needs supervisors / managers attention to authorize and approve on a daily basis.
  • Daily interactions with external parties like Portfolio Managers , Brokers, Investment and money managers, fund Admins, clearing agents, Transfer agent companies to gather various information's about trade instructions, Money movements, Fund Transfers, Security Pricing, Corporate action events etc.
  • Process deals with stringent cutoffs and tight deadlines on a daily basis. Dealing with escalations due to non-responsive parties becomes daily process which is taken care by the managers
  • Always demonstrate sense of urgency' and maintain a heightened sense of "Risk - alertness".
  • Essential Qualifications

  • 8-10 years of work experience in the Securities / Financial Market industry and 3-4 years of people management is must
  • Able to handle critical production or escalation issues with minimal supervision.
  • Ability to handle multiple tasks and meet tight deadlines.
  • Plan, coordinates, distributes, and monitors daily securities or cash related production work
  • Ensuring all Risk parameters are covered & reviewed regularly and have controls in place
  • To seek clarification on any complicated / exceptional situations
  • Excellent knowledge of end-to-end trade cycle pertains to the US market.
  • Very Good understanding of Capital markets products and process
  • strong technical and problem-solving skills
  • Commerce Graduate with CA / CFA / ICW / / MBA preferably in Finance vertical
  • Any other industry related Certifications
  • Desired Qualifications

  • Knowledge on Securities / Financial Markets / DTCC / SEI
  • Desirable to have experience of interacting with US customers.
  • Good knowledge and work experience in the Securities / Financial Markets / Mutual Funds / Reconciliation
  • Good problem solving skills, Attention to detail and comprehension skills
  • Must be open to work in any shift as per business requirements.
  • Leadership Expectations at Wells Fargo

    As a Team Member manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will :

  • Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them.
  • Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks.
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