Financial Consultant

Wells Fargo & Company•Portage, MI

About The Position

Wells Fargo is seeking a Financial Consultant in Wealth and Investment Management as part of Wells Fargo Advisors. This role involves working with a Financial Advisor to provide clients with financial advice consistent with their goals and risk tolerance. The consultant will meet with clients to collect financial information, assess investment profiles, and evaluate financial needs. They will advise clients on the advantages and disadvantages of various financial products and determine suitable options. The position also focuses on increasing and retaining existing client assets and meeting potential new clients. Selected responsibilities may be delegated by the Financial Advisor. This Loan Originator (LO) position includes customer contact and duties such as needs assessment and referring clients interested in dwelling-secured products to a SAFE team member, assisting customers without taking applications or negotiating terms of dwelling-secured transactions. Individuals in an LO position must meet specific Loan Originator requirements under Regulation Z (LO).

Requirements

2+ years of Investment Advice 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 66 (or 63 and 65) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
Designated insurance license requirements or equivalents must be completed within 30 days of hire date if not immediately available to transfer upon hire
Compliance with state law requirements is required
Individuals in Loan Originator (LO) positions must meet the Consumer Financial Protection Bureau qualification requirements and comply with related Wells Fargo policies
The LO qualification requirements include meeting applicable financial responsibility, character, general financial fitness and criminal background standards
A current credit report will be used to assess your financial responsibility and credit fitness
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
Specific product licenses or SAFE licensing may apply
Additional requirements include meeting enhanced financial fitness and criminal background standards
For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required
Compliance with 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
Successfully complete and pass a background check prior to hire
Individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer
Meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents

Nice To Haves

Full-service brokerage experience
Financial advisement or planning experience
Client relationship management experience
Knowledge and understanding of Salesforce, Smart Station or contact management system
Financial services sales experience
High level of initiative and accountability
Experience developing and cultivating professional relationships
Good verbal, written, and interpersonal communication skills
Solid organizational, multi-tasking, and prioritizing skills

Responsibilities

Work with the Financial Advisor in providing clients with financial advice consistent with clients goals and risk tolerance
Meet with clients to collect financial information
Assess investment profile and evaluate clients financial needs
Advise clients regarding advantages and disadvantages of different financial products and determines which financial products are suitable for client needs and financial circumstances
Work to increase and retain existing client assets and meet potential new clients
May be delegated selected responsibilities by the Financial Advisor
Needs assessing and referring those customers interested in a dwelling secured product to a SAFE team member
Assisting customers without taking an application and without offering or negotiating terms of a dwelling secured transaction

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