Lead Brokerage Client Assistant - RCAST & Registered

Wells Fargo & Company • St. Louis, MO

6d

About The Position

Wells Fargo is seeking a Lead Brokerage Client Assistant – RCAST & Registered 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 Support performance of less experienced Remote Client Associate Support Team (RCAST) staff and assist in research of performance data for investment options Proactively provide feedback and present ideas for improving or implementing administrative and operational processes and tools within RCAST Brokerage and Client Support functional area Perform complex administrative tasks, including opening accounts and processing paperwork Work with internal departments and clients to solve service and operational issues Process processing client service requests Provide assistance to financial advisors by furnishing account information and quotes, establishing new accounts, and processing deliveries and payments Provide subject matter expertise and interpretation of procedures to less experienced staff Interact with immediate RCAST Brokerage Client Support team, functional area, and internal peers outside work group on wide range of information, as well as internal and external customers

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 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 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

• 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

Responsibilities

• Support Financial Advisory team and their clients by providing account information or quotes, entering Financial Advisory approved security tickets, and completing various administrative tasks
• Support performance of less experienced Remote Client Associate Support Team (RCAST) staff and assist in research of performance data for investment options
• Proactively provide feedback and present ideas for improving or implementing administrative and operational processes and tools within RCAST Brokerage and Client Support functional area
• Perform complex administrative tasks, including opening accounts and processing paperwork
• Work with internal departments and clients to solve service and operational issues
• Process processing client service requests
• Provide assistance to financial advisors by furnishing account information and quotes, establishing new accounts, and processing deliveries and payments
• Provide subject matter expertise and interpretation of procedures to less experienced staff
• Interact with immediate RCAST Brokerage Client Support team, functional area, and internal peers outside work group on wide range of information, as well as internal and external customers

What This Job Offers

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