Client Reporting Associate

Wells Fargo is seeking a Securities Operations Associate/Client Reporting Associate to join their Client Reporting team. This role is responsible for executing and auditing client communications, ensuring compliance, and supporting process improvement initiatives.

Responsibilities

• 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 vendors
• Monitor 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 complexity lifecycle support tasks and help 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 with narrower impact
• Receive direction from manager and exercise judgment within defined parameters related to resolving situations on a full process within a trade environment, while developing understanding of various functions, policies, and procedures
• 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
• Assist 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

Skills

• 6+ months of Securities Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• 6+ months 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
• Strong analytical and problem-solving skills
• Proficiency in Microsoft Excel, Word, and Outlook; experience with workflow tools and document repositories

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

Company Overview