Registered Client Assistant

Wells Fargo & Company • Williamsburg, VA

5d • Onsite

About The Position

Wells Fargo is seeking a Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. In this role, you will assist Financial Advisor(s) with sales, service, and operational related activities. This includes providing service to clients via telephone, direct interaction, and/or written correspondence. You will facilitate Financial Advisor and client requests for account-related information and/or quotes, and assist with scheduling and preparing for appointments with new or prospective clients. You will also establish and service client accounts, prepare forms, and research account inquiries and/or issues. Additionally, you may perform various administrative functions for the Financial Advisor(s) and Branch Management, such as tracking referrals, coordinating and executing marketing campaigns, establishing and maintaining files to meet the firm's regulatory requirements, and establishing and maintaining filing and record-keeping necessary to support efforts to service and grow client relationships. When applicable, you will act as the liaison for all referral sources by reviewing paperwork for completeness and forwarding it to management for review.

Requirements

• 1+ year of Brokerage and Client Services support 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
• 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.
• This position is not eligible for Visa sponsorship.

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

• Assist Financial Advisor(s) with sales, service and operational related activities such as providing service to clients via telephone, direct interaction and/or written correspondence
• Facilitate Financial Advisor and client requests for account related information and/or quotes, scheduling and preparing for appointments with new or prospective clients
• Establish and service client accounts, prepare forms, research account inquiries and/or issues
• Perform various administrative functions for the Financial Advisor(s) and Branch Management including, but not limited to, tracking referrals, coordinating and executing marketing campaigns, establishing and maintaining files to meet the firm's regulatory requirements, and establishing and maintaining filing and record keeping necessary to support efforts to service and grow client relationships
• When applicable, acts as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review

Benefits

• Wells Fargo is an equal opportunity employer.

What This Job Offers

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