Client Associate

Posting location: 2660 Eastchase Lane, Suite 301, Montgomery, AL 36117

About the role

Wells Fargo is seeking a Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. In this role, you will assist Financial Advisor(s) with service and operational activities to support client relationships and branch operations.

Responsibilities

• Provide service to clients via telephone, direct interaction, and/or written correspondence.
• Facilitate Financial Advisor and client requests for account-related information and/or quotes.
• Schedule and prepare for appointments with new or prospective clients.
• Establish and service client accounts, prepare forms, research account inquiries/issues, and enter security order tickets after approval by the Financial Advisor(s).
• Execute various administrative functions for the Financial Advisor(s) and Branch Management, including tracking referrals, assisting with marketing activities, and maintaining files to meet regulatory requirements.
• Establish and maintain filing and record-keeping to support client relationship growth.
• Act as the liaison for all referral sources by reviewing paperwork for completeness and forwarding it to management for review when applicable.

Requirements

• 1+ year of Brokerage and Client Services support experience, or equivalent demonstrated through one or a combination of work experience, training, military experience, or education.

Qualifications

• Brokerage client support experience or financial services industry experience.
• Administrative support experience in financial services.
• Experience interacting directly with customers.
• Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills.
• Client service focus with the ability to listen to customer needs and recommend solutions.
• Ability to prioritize work, meet deadlines, achieve goals, and work in a dynamic and complex environment.

Job Expectations

• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements.
• This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire.
• Individuals subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer.
• Successful candidates must meet and comply with ongoing regulatory obligations, including periodic screening and mandatory reporting of certain incidents.
• This position is not eligible for Visa sponsorship.