Associate Brokerage Support Consultant

Wells Fargo Bank • Charlotte, NC

1d

About The Position

Wells Fargo is seeking an Associate Brokerage Support Consultant 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: Support staff in transactional tasks and processes to ensure timely completion, quality, and compliance adherence Participate in and provide support for moderately complex transactional tasks Support the execution of processes for the Central Brokerage Support team, including the review and approval of operational transaction requests of moderate complexity that require subject matter expertise to ensure timely completion, quality, and compliance Participate and collaborate with peers, colleagues, and mid-level managers in adherence, development and interpretation of policies, procedures, and compliance requirements Identify and provide consultation on opportunities for process improvement and risk control development

Requirements

• 6+ months of Financial Services Industry experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Nice To Haves

• Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or 7 and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
• Brokerage client support experience
• Administrative support experience in financial services
• Strong attention to detail and accuracy
• Effective organizational, multi-tasking, and prioritizing skills
• Strong verbal, written, and interpersonal communication skills

Responsibilities

• Support staff in transactional tasks and processes to ensure timely completion, quality, and compliance adherence
• Participate in and provide support for moderately complex transactional tasks
• Support the execution of processes for the Central Brokerage Support team, including the review and approval of operational transaction requests of moderate complexity that require subject matter expertise to ensure timely completion, quality, and compliance
• Participate and collaborate with peers, colleagues, and mid-level managers in adherence, development and interpretation of policies, procedures, and compliance requirements
• Identify and provide consultation on opportunities for process improvement and risk control development

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: No Education Listed
• Number of Employees: 5,001-10,000 employees