Brokerage Client Assistant - Advisor Support & Registered

Wells Fargo • St. Louis, MO

7d • Onsite

About The Position

Wells Fargo is seeking a Brokerage Client Assistant - Advisor Support & Registered as part of the Advisor Support Team (AST) in Wealth and Investment Management within Wells Fargo Advisors. The role supports financial advisors and their clients by providing account information and quotes, entering advisor-approved security tickets, and completing administrative tasks. It also handles inquiries and account issues, maintains regulatory files and records, and creates reports and databases to support sales efforts. The position receives direction from supervisors, escalates non-routine questions to experienced colleagues, and interacts with the AST Brokerage Client Support team, other functional areas, and internal and external customers.

The role requires maintaining appropriate FINRA licenses and complying with state registration and licensing requirements. It is subject to FINRA background screening and ongoing regulatory obligations. The position is not eligible for visa sponsorship and is located at 2801 Market St, St. Louis, Missouri.

Requirements

• At least 1 year of Brokerage and Client Services support experience, or equivalent demonstrated through work experience, training, military experience, or education.
• For U.S. candidates, successful completion of FINRA Series 7 and 63 examinations, or FINRA-recognized equivalents, sufficient to qualify for immediate FINRA registration.
• Obtain and/or maintain appropriate FINRA license(s) for ongoing employment and comply with state law registration and licensing requirements.
• Meet enhanced financial fitness and criminal background standards and successfully pass a background check before hire.
• Meet ongoing regulatory obligations, including periodic screening and mandatory reporting of certain incidents.

Nice To Haves

• Brokerage client support experience.
• Administrative support experience in financial services.
• Experience interacting directly with customers.
• Intermediate Microsoft Office skills, including Word, Excel, Outlook, and PowerPoint.
• Client service focus and 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 teams and their clients by providing account information or quotes, entering Financial Advisory-approved security tickets, and completing administrative tasks.
• Identify ways to improve AST Brokerage Client Support processes and contribute ideas to the work group.
• Perform moderately complex administrative tasks, handle telephone calls and inquiries for research reports, and resolve account issues.
• Establish and maintain files to meet regulatory requirements.
• Create and produce reports and databases, and maintain files and records to support sales efforts.
• Receive direction from supervisors and escalate non-routine questions to more experienced roles.
• Interact with the AST Brokerage Client Support team, functional areas, and internal and external customers.
• Obtain and/or maintain appropriate FINRA licenses and comply with applicable state registration and licensing requirements.
• Follow applicable Wells Fargo policies and procedures and fulfill risk and compliance obligations.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: No Education Listed