Wells Fargo Bank-posted 2 days ago
$28 - $42/Yr
Full-time • Entry Level
Minneapolis, MN
5,001-10,000 employees

About this role: Wells Fargo is seeking a Registered Client Associate 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

  • 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
  • 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 not eligible for Visa sponsorship
  • This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check.
  • Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification.
  • Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.
  • 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
  • Health benefits
  • 401(k) Plan
  • Paid time off
  • Disability benefits
  • Life insurance, critical illness insurance, and accident insurance
  • Parental leave
  • Critical caregiving leave
  • Discounts and savings
  • Commuter benefits
  • Tuition reimbursement
  • Scholarships for dependent children
  • Adoption reimbursement
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