Brokerage Client Assistant - RCAST & Registered

Wells Fargo • St. Louis, MO

13d • Onsite

About The Position

Wells Fargo is seeking a Brokerage Client Assistant – RCAST & Registered for the Remote Client Associate Support Team (RCAST) in Wealth and Investment Management, as part of Wells Fargo Advisors. The role supports Financial Advisory teams and their clients with account information, quotes, approved security tickets, administrative support, and resolution of account issues. It also contributes ideas to improve RCAST Brokerage Client Support processes and maintains records and files for regulatory and sales-support purposes.

The position requires FINRA Series 7 and 63 examinations, or recognized equivalents, sufficient for immediate FINRA registration. Continued employment requires obtaining and/or maintaining appropriate FINRA licenses and complying with state registration and licensing requirements. Additional requirements include applicable background screening, regulatory obligations, and enhanced financial fitness and criminal background standards. This position is not eligible for visa sponsorship.

Requirements

• At least 1 year of Brokerage and Client Services support experience, or equivalent demonstrated through work experience, training, military experience, education, or a combination of these.
• For US applicants: Successfully completed FINRA Series 7 and 63 examinations, or FINRA-recognized equivalents, sufficient to qualify for immediate FINRA registration.
• Obtain and/or maintain appropriate FINRA licenses for ongoing employment and comply with state law registration and licensing requirements.
• Successfully complete and pass the required background check before hire and meet applicable FINRA background screening and continuing regulatory obligations.
• Meet enhanced financial fitness and criminal background standards.
• Comply with applicable policies concerning outside activities and personal investing, including providing information to Wells Fargo's Personal Account Dealing Team when required.
• No visa sponsorship is available for this position.

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, including 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 teams and their clients by providing account information or quotes, entering Financial Advisory-approved security tickets, and completing administrative tasks.
• Identify ways to improve RCAST Brokerage Client Support processes and offer 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 establish 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 immediate RCAST Brokerage Client Support team, the functional area, and internal and external customers.
• Follow applicable risk programs, Wells Fargo policies and procedures, and risk and compliance obligations; escalate and remediate issues as appropriate.

What This Job Offers

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