Senior Registered Client Associate

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About the role

In this role, you will assist Financial Advisor(s) in Wealth and Investment Management with sales, service, and operational activities.

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, and research account inquiries and/or issues.
• Execute 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.
  • Establishing and maintaining filing and record-keeping necessary to support efforts to service and grow client relationships.
• Act as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review when applicable.
• Utilize prior experience in the Registered Client Associate role to anticipate and proactively seek resolutions to client and business-related issues.
• Demonstrate seasoned judgment by handling complex clients with a high degree of professionalism.
• Serve as a subject matter expert, providing advice or guidance to peers.
• Provide knowledge and systems support to branch personnel and training for entry-level Client Associates.

Requirements

• 2+ years 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.

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 product licenses or SAFE licensing may apply.
• 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: 310 Heights Road, Darien, CT 06820

Pay

The base pay range for this position is $34.62 - $52.40 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.