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Wells Fargo Brokerage Support Specialist United States, California, San Francisco 316233025
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In this role you will:
- Process deposits of client funds and/or securities
- Enter securities, payments, and orders into the system, prepare client receipts, and forward securities with any supporting documentation to the Home Office
- Ensure that financial transactions are completed in a timely fashion to reduce financial exposure to both the client and the firm
- Identify and prevent potential risk-related transactions
- Disseminate morning reports
- Maintain accurate records per Corporate and Securities regulations, while meeting daily deadlines for bank deposits and system cutoffs
- Identify opportunities for process improvement and risk control development in less complex functional areas
- Leverage interpretation of policies, procedures, and compliance requirements
- Collaborate and consult with peers, colleagues, and mid-level managers, as well as interact directly with external customers
Required Qualifications:
- 2+ years of Brokerage Support experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Desired Qualifications:
- Brokerage operations experience
- Financial services industry experience
- Experience in cashiering or wire operations
- Strong organizational, multi-tasking, and prioritizing skills
- Ability to work in a fast paced deadline driven environment
- Knowledge and understanding of brokerage: systems or applications
- Strong analytical skills with high attention to detail and accuracy
- Excellent verbal, written, and interpersonal communication skills
Job Expectations:
- Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process.
This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
This position is not eligible for Visa sponsorship.
Posting Location:
555 California St Ste 2300 San Francisco, California 94104
2033 N Main St Ste 800 & 1075 Walnut Creek, California 94596
Pay Range
Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit for an overview of the following benefit plans and programs offered to employees.
- Health benefits
- 401(k) Plan
- Paid time off
- Disability benefits
- Life insurance, critical illness insurance, and accident insurance
- Parental leave
- Critical caregiving leave
- Discounts and savings
- Commuter benefits
- Tuition reimbursement
- Scholarships for dependent children
- Adoption reimbursement
Wells Fargo Recruitment and Hiring Requirements:
b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.
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