Brokerage Client Assistant - RCAST & Registered

Wells Fargo Bank•Salt Lake, UT

12d

About The Position

About this role: Wells Fargo is seeking a Brokerage Client Assistant - RCAST & Registered as part of the Remote Client Associate Support Team (RCAST) 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 Financial Advisory team and their clients by providing account information or quotes, entering Financial Advisory approved security tickets, and completing various administrative tasks Identify ways to improve Remote Client Associate Support Team (RCAST) Brokerage Client Support processes and offer RCAST Brokerage Client Support work group ideas Perform moderately complex administrative tasks, handle telephone calls and other inquiries for research reports, as well as resolve account issues Establish and maintain files to meet regulatory requirements Create and produce reports as well as databases while establishing and maintaining files and records to support sales efforts Receive direction from supervisors and escalate non-routine questions to more experienced roles Interact with immediate RCAST Brokerage Client Support team and functional area on wide range of information, as well as internal and external customers

Requirements

2+ years of Brokerage and Client Services 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
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.
In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may 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 if hired.
This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire.
In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer.
Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
This position is not eligible for Visa sponsorship

Nice To Haves

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

Responsibilities

Support Financial Advisory team and their clients by providing account information or quotes, entering Financial Advisory approved security tickets, and completing various administrative tasks
Identify ways to improve Remote Client Associate Support Team (RCAST) Brokerage Client Support processes and offer RCAST Brokerage Client Support work group ideas
Perform moderately complex administrative tasks, handle telephone calls and other inquiries for research reports, as well as resolve account issues
Establish and maintain files to meet regulatory requirements
Create and produce reports as well as databases while establishing and maintaining files and records to support sales efforts
Receive direction from supervisors and escalate non-routine questions to more experienced roles
Interact with immediate RCAST Brokerage Client Support team and functional area on wide range of information, as well as internal and external customers

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