Financial Consultant

Wells Fargo•Bellevue, WA

1d•Onsite

About The Position

Wells Fargo is seeking a Financial Consultant in Wealth and Investment Management as part of Wells Fargo Advisors. In this role, you will work with the Financial Advisor in providing clients with financial advice consistent with clients’ goals and risk tolerance. You will meet with clients to collect financial information, assess investment profiles, and evaluate clients’ financial needs. You will advise clients regarding the advantages and disadvantages of different financial products and determine which financial products are suitable for client needs and financial circumstances. You will work to increase and retain existing client assets and meet potential new clients. Selected responsibilities may be delegated by the Financial Advisor. This LO position has customer contact and job duties which may include needs assessing and referring those customers interested in a dwelling secured product to a SAFE team member. This position includes assisting customers without taking an application and without offering or negotiating terms of a dwelling secured transaction. Individuals in a LO position also must meet the Loan Originator requirements under Regulation Z (LO) outlined in the job expectations below.

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
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, however, a credit score is not included as part of the evaluation.
Successful candidates must also meet ongoing regulatory requirements including additional screening, if necessary
US only: Designated insurance exams must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire.
FINRA recognized equivalents will be accepted.
This will be communicated at time of offer acceptance
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.
Information will be shared about expectations during the recruitment process
This position is subject to FINRA background screening requirements.
Candidates must successfully complete and pass a background check prior to hire.
In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer.
Successful candidates must also 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
Assisting customers without taking an application and without offering or negotiating terms of a dwelling secured transaction.