Brokerage Client Assistant - RCAST & Registered

Wells Fargo•Minneapolis, MN

13d•$28 - $42•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 brokerage client service and administrative work. The position is based at 550 S 4th St, Minneapolis, Minnesota. It requires appropriate FINRA registration and compliance with applicable state licensing and regulatory obligations. The 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, or education.
For U.S. candidates: 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; comply with state law registration and licensing requirements. Additional product licenses or SAFE licensing may apply.
Meet enhanced financial fitness and criminal background standards, pass required FINRA background screening before hire, and comply with ongoing regulatory obligations, including periodic screening and mandatory incident reporting.
Comply with applicable policies concerning outside activities and personal investing, including providing information to the Wells Fargo Personal Account Dealing Team when required.
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 skills, including Word, Excel, Outlook, and PowerPoint.
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 teams and clients by providing account information or quotes, entering Financial Advisory-approved security tickets, and completing administrative tasks.
Identify opportunities 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 maintain files and records that support sales efforts.
Receive direction from supervisors and escalate non-routine questions to more experienced roles.
Interact with the RCAST Brokerage Client Support team, the functional area, and internal and external customers.
Execute applicable risk programs, follow Wells Fargo policies and procedures, fulfill risk and compliance obligations, and escalate and remediate issues appropriately.
Proactively monitor and identify risks and make sound risk decisions consistent with business-unit risk appetite and risk and compliance requirements.