Client Associate

Wells Fargo • Honolulu, HI

13d • Onsite

About The Position

Wells Fargo is seeking a Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. The role supports Profit Formula Financial Advisors and Branch Management with client service, account operations, and administrative activities. The position is located at 1001 Bishop St Fl 19, Honolulu, Hawaii 96813.

The Client Associate assists with client requests and account information, schedules and prepares appointments, establishes and services client accounts, prepares forms, researches account inquiries and issues, and enters security order tickets after advisor approval. The role also performs administrative and recordkeeping functions, supports referral and marketing activities, maintains files to meet regulatory requirements, and serves as a liaison for referral sources.

This position is subject to FINRA background screening and ongoing regulatory obligations. It is not eligible for Visa sponsorship. Specific compliance policies may apply to outside activities and personal investing.

Requirements

• At least 1 year of Brokerage and Client Services support experience, or equivalent demonstrated through work experience, training, military experience, or education.
• Successfully complete and pass a background check prior to hire; individuals subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer.
• Meet ongoing regulatory obligations, including periodic screening and mandatory reporting of certain incidents.
• Provide information to the Wells Fargo Personal Account Dealing Team and comply with applicable policies if affected by outside-activity or personal-investing requirements.

Nice To Haves

• Brokerage client support experience or financial services industry 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

• Assist Profit Formula Financial Advisor colleagues with service and operational activities, including communicating with clients by telephone, direct interaction, or written correspondence.
• Facilitate advisor and client requests for account-related information and quotes.
• Schedule and prepare for appointments with new or prospective clients.
• Establish and service client accounts, prepare forms, research account inquiries or issues, and enter security order tickets after approval from the Profit Formula Financial Advisor(s).
• Perform administrative functions for Profit Formula Financial Advisor(s) and Branch Management, including tracking referrals, assisting with marketing activities, and maintaining files for regulatory requirements.
• Establish and maintain filing and recordkeeping to support servicing and growing client relationships.
• Act as liaison for referral sources by reviewing paperwork for completeness and forwarding it to management for review when applicable.
• Follow applicable risk and compliance programs, policies, and procedures; escalate and remediate issues as appropriate.

What This Job Offers

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