Summary
Overview
Work History
Education
Skills
Accomplishments
Timeline
Hi, I’m

Riya N.S

Bengaluru

Summary

Dynamic Securities Operation Representative with proven expertise at Wells Fargo in document verification and compliance. Skilled in cross-functional collaboration and client relationship management, I have successfully streamlined transfer processes, enhancing operational efficiency and ensuring regulatory adherence. Recognized for building strong partnerships and delivering exceptional client service in high-pressure environments.

Overview

3
years of professional experience

Work History

Wells Fargo

Securities Operation Representative
06.2024 - Current

Job overview

• Processed ACATS and Non-ACATS transfer requests, ensuring end-to-end handling of client share transfers with a focus on accuracy, regulatory compliance, and timely completion. Verified all required documents, including Transfer Initiation Forms (TIFs) and Letters of Authorization, while coordinating with counterparties to resolve discrepancies and exceptions.


• Cross-trained and actively contributed to the Networking team, where responsibilities included reviewing and verifying fund-related documents received from Financial Advisors (FAs), ensuring alignment between the fund companies and BETA systems for accurate and compliant processing.


• Additionally cross-trained in the Oversight function, responsible for validating verified information and accurately updating share positions in the system. Ensured compliance with internal guidelines by checking for any BORD restrictions such as AML holds or other regulatory flags before updating records.


• Maintained strong coordination between departments, external fund companies, and internal teams, ensuring smooth operations, detailed documentation, and superior client service throughout each stage of the transfer process.


• Proactively monitored transfer pipelines, addressed exceptions, and provided regular status updates to relevant teams, ensuring an efficient, compliant, and client-focused operation.


• Built strong working relationships with Financial Advisors, counterparties, and internal teams, consistently providing clear communication and prompt resolutions to support a superior client experience


Wells Fargo

Associate Securities Operation Represnative
05.2023 - 06.2024

Job overview

Responsible for processing ACATS and Non-ACATS share transfers, ensuring accurate verification of all client documents such as Transfer Initiation Forms and Letters of Authorization. Coordinated with counterparties and internal teams to resolve discrepancies and track transfer statuses until completion. Maintained strict adherence to regulatory guidelines, including SEC and FINRA, throughout the entire process. Worked closely with Financial Advisors to ensure smooth communication between fund companies and BETA systems. Also supported exception handling, identified potential risks, and provided timely resolutions, contributing to an efficient, compliant, and client-focused operation in the securities transfer domain.

Teleperformance

Subject Matter Expert
11.2022 - 04.2023

Job overview

Worked as a Subject Matter Expert (SME) for Auto Loans at Teleperformance, a third-party vendor for Axis Bank. Handled end-to-end processing of auto loan applications by interacting directly with clients to understand their requirements, guide them through the application process, and resolve queries. Verified and validated customer documents such as KYC, income proofs, and vehicle details to ensure accuracy and compliance with bank policies. Supported the loan approval process by coordinating with internal teams and credit officers, ensuring timely processing. Provided floor support, training, and mentoring to team members on product knowledge, process updates, and quality standards.

Education

St Joseph's First Grade College
Mysore

Bachelor of Commerce from Commerce
10-2022

University Overview

  • Achieved a CGPA of 8.0 in the final year of graduation, demonstrating consistent academic performance

Skills

  • Document Verification & Compliance
  • Process Management
  • Client Relationship Management
  • Cross-Functional Collaboration
  • Team Support & Leadership
  • Network development
  • Performance improvement
  • KYC
  • Investment banking
  • Trade settlement

Accomplishments

Accomplishments

    • Recognized with a Spotlight Award by management for consistently delivering high-quality work, resolving complex cases, and contributing to overall team success.

    • Recognized as a Top Innovator at the Transformation Institute within the organization for contributing ideas that improved process efficiency and team productivity.

Timeline

Securities Operation Representative
Wells Fargo
06.2024 - Current
Associate Securities Operation Represnative
Wells Fargo
05.2023 - 06.2024
Subject Matter Expert
Teleperformance
11.2022 - 04.2023
St Joseph's First Grade College
Bachelor of Commerce from Commerce
Riya N.S