What are the responsibilities and job description for the Operations Senior Manager - WIM Operations position at D13 Wells Fargo Clearing Services, LLC?
About this role: Wells Fargo Wealth and Investment Management (WIM) Operations is seeking an Operations Senior Manager to lead the Trade Support Operations team. This position will conduct oversight of processes across the Trade Support team, to include Trade Regulatory Reporting (Non-Financial Regulatory Reporting) and Purchase & Sales for Equity and Fixed Income Products. In this role, you will: Manage and develop teams of individual contributors and managers in roles with moderate work complexity and risk in the Operations functional area Work with more experienced management to develop and execute business strategies Identify and recommend opportunities for process improvement and risk control development within the Operations functional area Develop and implement business unit strategies Provide expertise for technical, operational and processing functions related to business unit Determine appropriate strategy and actions of Operation management functional team to meet moderate to high risk deliverables Interpret and develop policies and procedures for functions with moderate complexity within scope of responsibility across business lines or functional areas Collaborate and influence all levels of professionals including more experienced managers Lead team to achieve objectives Engage and influence stakeholders, internal partners and peers associated with the function or affected by its outcomes Manage allocation of people and financial resources for Operations Develop and guide a culture of talent development to meet business objectives and strategy Required Qualifications: 6 years of Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education 3 years of management experience Desired Qualifications: 6 years of Trading/Trade Processing experience 3 years of Trading/Trade Processing management experience 3 years of brokerage Non-Financial Regulatory Reporting experience Excellent verbal and written communications skills Ability to effectively interact with all levels of the organization Ability to meet stringent deadlines Ability to develop and utilize key measurements to provide oversight of effective business process execution Strong analytical skills with a high attention to detail and accuracy Job Expectations: Registration for FINRA 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 the position Posting End Date: 28 Feb 2025 *Job posting may come down early due to volume of applicants. We Value Diversity At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law. 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 US: 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. 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. Drug and Alcohol Policy Wells Fargo maintains a drug free workplace. Please see our 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. Wells Fargo & Company (NYSE: WFC) is a leading financial services company that has approximately $1.9 trillion in assets. 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