Associate Bank Financial Advisor

ALPFA Baltimore Chapter · Collingswood, NJ · Yesterday

FinanceFull-time

About the role

Wells Fargo is seeking an Associate Bank Financial Advisor (LO) in Wealth and Investment Management as part of Wells Fargo Advisors. In this role you will participate in Wells Fargo Advisors’ training program for meeting personal, professional, and organizational client service and financial goals within the Financial Advisory – Bank function. You will review basic or tactical client goals and risk tolerance, assess investment profiles, and evaluate client financial needs related to lower-risk tasks and deliverables with narrower impact.

This LO position has customer contact and job duties that may include needs assessing and referring those customers interested in a dwelling-secured product to a SAFE team member. This position includes assisting customers without taking an application and without offering or negotiating terms of a dwelling-secured transaction. Individuals in an LO position must also meet the Loan Originator requirements under Regulation Z outlined in the job expectations below.

Responsibilities

Review basic or tactical client goals and risk tolerance
Assess investment profiles and evaluate client financial needs related to lower-risk tasks and deliverables with narrower impact
Conduct needs assessments and refer customers interested in dwelling-secured products to a SAFE team member
Assist customers without taking applications or negotiating terms of dwelling-secured transactions

Required Qualifications

6+ months of customer service, sales, relationship-building experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Successfully completed the Securities Industry Essentials (SIE) exam or equivalent

Desired Qualifications

FINRA registration including Series 7 and 66 (or FINRA-recognized equivalents)
State Variable, Life and Health insurance licenses
Financial services experience
Client services experience
Experience developing and managing client relationships
Sales or sales-support experience
BS/BA degree or higher

Job Expectations

Meet Consumer Financial Protection Bureau qualification requirements and comply with related Wells Fargo policies, including applicable financial responsibility, character, general financial fitness, and criminal background standards; a current credit report will be used to assess financial responsibility and credit fitness
Obtain and/or maintain appropriate FINRA license(s) within either a 90- or 180-day time period following commencement of employment, depending on the number of licenses needed if not immediately available to transfer upon hire; FINRA Series 7 and 66 (or 63 and 65) examinations, or recognized equivalents, are required
Comply with state law registration and licensing requirements and any applicable SAFE licensing requirements
Meet enhanced financial fitness and criminal background standards
Successfully complete and pass a background check prior to hire; individuals subject to statutory disqualification are not eligible for association with a FINRA-registered broker-dealer
Meet ongoing regulatory obligations, including periodic screening and mandatory reporting of certain incidents
Comply with Wells Fargo policies regarding outside activities and personal investing, including providing information to the Wells Fargo Personal Account Dealing Team if applicable

This position is not eligible for Visa sponsorship.