Registered Client Associate

About This Role

Wells Fargo is seeking a Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the career areas and business divisions at wellsfargojobs.com. In This Role You Will:

• Assist Financial Advisor(s) with sales, service and operational related activities such as providing service to clients via telephone, direct interaction and/or written correspondence.
• Facilitate Financial Advisor and client requests for account related information and/or quotes, scheduling and preparing for appointments with new or prospective clients.
• Establish and service client accounts, prepare forms, research account inquiries and/or issues.
• May also perform various administrative functions for the Financial Advisor(s) and Branch Management including, but not limited to, tracking referrals, coordinating and executing marketing campaigns, establishing and maintaining files to meet the firm's regulatory requirements, and establishing and maintaining filing and record keeping necessary to support efforts to service and grow client relationships.

Required Qualifications

• 1+ year of Brokerage and Client Services support experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications

• Brokerage client support 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

• US Only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory.
• Specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required.
• 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 if hired.
• Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities.
• Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
• Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities.
• Drug and Alcohol Policy: Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
• Recruitment and Hiring Requirements: Third-Party recordings are prohibited unless authorized by Wells Fargo.