Securities Operations Associate

About the role

The Fees, Commissions, & Specialty Assets team within WIM Operations supports operational excellence, risk management, and quality assurance activities to ensure accurate and timely compensation for Financial Advisors. This role collaborates with internal and external partners to resolve commission-related inquiries, leveraging analytical and problem-solving skills.

Responsibilities

• Participate in low complexity lifecycle support tasks and identify opportunities for process improvements within Securities Operations
• Review basic or tactical issues, policies, or procedures for which answers can be quickly obtained, related to low risk tasks and deliverables
• Provide information to, collaborate, and consult with peers, colleagues, and managers, including internal and external customers, to resolve issues and achieve goals
• Build expertise in operational processes including client account onboarding, cash payments, customer service, funding operations, custodial operations, securities settlement services, structured loan operations, and general ledger reconciliation
• Aid in gathering data to support resolution of issues; review and analyze functional operational tasks that require research and evaluation
• Resolve low complexity escalated issues within the scope of responsibility in Security Operations
• Research low complexity business risks, provide input into policies, enhance customer satisfaction, and review time-sensitive documents and transaction requests
• Support overall effectiveness of the team according to plans; monitor daily securities and cash related production work
• Contribute to implementation of projects, new or revised processes, and procedures that require coordination among operation teams and may perform analysis for initiatives that support business strategies

Requirements

• 6+ months of Securities Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications

• Demonstrated aptitude for process improvement, operational excellence, innovation, and transformation
• Experience utilizing AI tools, automation platforms, or workflow technologies to improve efficiency and productivity
• Ability to identify inefficiencies and develop creative, technology-enabled solutions
• Strong attention to detail, accountability, and ownership mindset
• Strong analytical, problem-solving, and decision-making skills
• Excellent verbal and written communication skills
• Proficiency with Microsoft Excel and other Microsoft Office applications
• Experience with tools such as Alteryx, Xceptor, Power BI, Power Automate, Microsoft Copilot, or similar technologies

Benefits

• 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