Lead Brokerage Client Assistant - RCAST & Registered

Wells Fargo•Charlotte, NC

About The Position

About this role: Wells Fargo is seeking a Lead Brokerage Client Assistant – RCAST & Registered 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: Serve in the team lead capacity to delegate and monitor completion of tasks directed to the RCAST (Remote Client Associate Support Team) team support model Support performance of less experienced (RCAST) staff Provide knowledge and systems support to branch personnel and training for entry-level Brokerage Client Assistants Foster a positive team dynamic, encourage collaboration and motivate team to achieve high quality and accuracy standards Facilitate Financial Advisor requests for account related information, establishing and servicing client accounts, furnishing account information, establishing new accounts, preparing forms, researching account inquiries and/or issues, and processing deliveries and payments Act as the liaison for Financial Advisors and Brokerage Client Assistants by reviewing paperwork for completeness prior to submitting for processing Utilize prior years of experience in a Client Assistant role, anticipate and proactively seek resolutions to client and business-related issues Demonstrate seasoned judgment by handling complex clients with a high degree of professionalism Proactively provide feedback and present ideas for improving or implementing administrative and operational processes and tools within RCAST Brokerage Client Support functional area Viewed by peers as a subject matter expert and sought by others for advice, guidance, and interpretation of procedures Perform various and complex administrative tasks, including opening accounts and processing paperwork, providing account information Identify and address issues with the model including but not limited to Financial Advisors and Brokerage Client Assistant issues, operational issues, inaccuracies in completion of work, volumes and workload and work with site leadership team to resolve Serve as the first point of contact for issues escalation and resolution for Financial Advisors and field partners Interact with immediate RCAST team, functional area, and internal peers outside work group on wide range of information May assist Financial Advisors in other areas of the country on an as needed or assigned basis

Requirements

6+ 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 may also be 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 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.
This position is not eligible for Visa Sponsorship.

Nice To Haves

Brokerage client support experience
Leadership experience including coaching and training in brokerage services
Administrative support experience in brokerage services
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
Experience using sound judgment to address complex client needs, escalating, and resolving issues with professionalism and urgency
Experiencing fostering strong collaboration between Financial Advisors and Client Associates
Experience sharing expertise with others and contributing to a high‑performing team environment
Experience anticipating needs, identifying process gaps, and recommending improvements that strengthen execution
Experience leading by example as a trusted resource
Experience maintaining high service and quality standards
Excellent verbal, written and interpersonal communication skills
Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills

Responsibilities

Serve in the team lead capacity to delegate and monitor completion of tasks directed to the RCAST (Remote Client Associate Support Team) team support model
Support performance of less experienced (RCAST) staff
Provide knowledge and systems support to branch personnel and training for entry-level Brokerage Client Assistants
Foster a positive team dynamic, encourage collaboration and motivate team to achieve high quality and accuracy standards
Facilitate Financial Advisor requests for account related information, establishing and servicing client accounts, furnishing account information, establishing new accounts, preparing forms, researching account inquiries and/or issues, and processing deliveries and payments
Act as the liaison for Financial Advisors and Brokerage Client Assistants by reviewing paperwork for completeness prior to submitting for processing
Utilize prior years of experience in a Client Assistant role, anticipate and proactively seek resolutions to client and business-related issues
Demonstrate seasoned judgment by handling complex clients with a high degree of professionalism
Proactively provide feedback and present ideas for improving or implementing administrative and operational processes and tools within RCAST Brokerage Client Support functional area
Viewed by peers as a subject matter expert and sought by others for advice, guidance, and interpretation of procedures
Perform various and complex administrative tasks, including opening accounts and processing paperwork, providing account information
Identify and address issues with the model including but not limited to Financial Advisors and Brokerage Client Assistant issues, operational issues, inaccuracies in completion of work, volumes and workload and work with site leadership team to resolve
Serve as the first point of contact for issues escalation and resolution for Financial Advisors and field partners
Interact with immediate RCAST team, functional area, and internal peers outside work group on wide range of information
May assist Financial Advisors in other areas of the country on an as needed or assigned basis