REQUIRED QUALIFICATIONS:

• 2+ years of experience in financial operations, preferably within a broker-dealer or wealth management environment.

DESIRED QUALIFICATIONS:

• 2+ years of experience in client reporting operations or related functions (e.g., statement processing, regulatory mailings).
• Strong attention to detail and ability to manage multiple priorities in a deadline-driven environment.
• Proficiency in Microsoft Excel, Word, and Outlook; experience with workflow tools and document repositories.
• Familiarity with regulatory requirements related to client communications (e.g., SEC, FINRA).
• Experience with Broadridge systems or similar third-party mailing platforms.
• Exposure to audit processes and quality control frameworks.
• Knowledge of Access Equals Delivery (AED) and suppression logic for prospectus mailings.
• Bachelor’s degree in business, Finance, or related field.
• Series 7 or other FINRA License holder.

APPLICANTS WITH DISABILITIES

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

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

ABOUT THIS ROLE:

Wells Fargo is seeking a Client Reporting Operations Analyst to join our Client Reporting and Advisory team. This role is responsible for executing and auditing client communications, including statements, trade confirmations, prospectus mailings, and ad hoc client correspondence. The ideal candidate will bring a strong operational mindset, a commitment to accuracy, and a collaborative approach to process improvement.
Learn more about the career areas and business divisions at wellsfargojobs.com.

IN THIS ROLE, YOU WILL:

• Perform quality control and audit reviews of client statements, trade confirmations, and prospectus mailings to ensure regulatory and procedural compliance.
• Coordinate and execute ad hoc mailings, including Quick Turn Letters (QTLs), fiscal summaries, and 401(b) letters, in partnership with business owners and third-party vendorsMonitor and reconcile prospectus activity, including suppression logic, unfulfilled obligations, and file transmissions to/from Broadridge.
• Maintain documentation and records for all mailings in accordance with supervisory procedures and audit requirements
• Support process improvement initiatives and contribute to the development and maintenance of standard operating procedures (SOPs).
• Collaborate with internal stakeholders (e.g., Compliance, Legal, Technology) to ensure timely and accurate delivery of client communications.
• Participate in internal audits and provide documentation and responses as needed
• 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 client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, and general ledger reconciliation
• Resolve low to moderately complex escalated issues within the scope of responsibility in Security Operations
• Research low to moderately complex business risks, provide input into policies, enhance customer satisfaction, and review time sensitive documents and transaction requests
• Exercise independent judgment in understanding trade settlement workflow controls to minimalize the effects of operational breakdowns
• Support overall effectiveness of the team according to plans; monitor daily securities and cash related production work
• Contribute and may lead 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