Registered Client Associate

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.

About the role

In this role, you will assist Financial Advisor(s) with sales, service, and operational activities, including:

• Providing service to clients via telephone, direct interaction, and/or written correspondence
• Facilitating Financial Advisor and client requests for account-related information and/or quotes
• Scheduling and preparing for appointments with new or prospective clients
• Establishing and servicing client accounts, preparing forms, and researching account inquiries and/or issues
• Performing various administrative functions for the Financial Advisor(s) and Branch Management, such as tracking referrals, coordinating marketing campaigns, and maintaining files to meet regulatory requirements
• Establishing and maintaining filing and record-keeping to support client relationship growth

When applicable, you will act as the liaison for all referral sources by reviewing paperwork for completeness and forwarding it to management for review.

Requirements

• 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, or 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

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. Compliance with state law registration and licensing requirements is mandatory. Specific product licenses or SAFE licensing may also apply.
• Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance. For 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.
• 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.

Posting Location: 3400 188th Street SW, Suite 500, Lynnwood, WA 98037

Pay

The base pay range for this position is $30.77 - $45.67 per hour. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.

Benefits

Wells Fargo provides eligible employees with a comprehensive set of benefits, including:

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement