Associate Bank Financial Advisor

Wells Fargo · 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 includes customer contact and duties that may include needs assessing and referring customers interested in a dwelling-secured product to a SAFE team member; the role assists customers without taking an application and without offering or negotiating terms of a dwelling-secured transaction.

Responsibilities

Complete Wells Fargo Advisors training program aligned to personal, professional, and organizational goals.
Review client goals and risk tolerance, assess investment profiles, and evaluate financial needs for lower-risk tasks.
Conduct needs assessments and refer interested customers to SAFE team members for dwelling-secured products.
Assist customers without taking applications or negotiating terms of dwelling-secured transactions.

Requirements

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

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.
A BS/BA degree or higher.

Job Expectations

Meet Consumer Financial Protection Bureau qualification requirements and Wells Fargo policies for Loan Originators, including 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 90–180 days of hire, depending on the number of licenses needed; Series 7 and 66 (or 63 and 65) or FINRA-recognized equivalents are required, and the Securities Industry Essentials (SIE) exam co-requisite is required for exams taken after 9/30/2018.
Comply with state law registration and licensing requirements; additional product or SAFE licensing may apply.
Meet enhanced financial fitness and criminal background standards; pass a FINRA background screening prior to hire.
Adhere to ongoing regulatory obligations, including periodic screening and mandatory reporting of certain incidents.
Comply with Wells Fargo policies on outside activities and personal investing; provide information to the Wells Fargo Personal Account Dealing Team if applicable.