Registered Client Associate

Wells Fargo & Company•Sarasota, FL

1d•Onsite

About The Position

Wells Fargo is seeking a Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. The role supports the Profit Formula team in enhancing client service delivery and building strong, lasting relationships with brokerage clients. The associate serves as a key client contact, handles day-to-day service requests, and supports growth. The position involves sales and servicing support for financial advisors and consultants, moderately complex administrative and operational work, client inquiry handling, reporting, recordkeeping, and regulatory file maintenance. The associate receives direction from supervisors and escalates non-routine questions to more experienced roles, while interacting with the Profit Formula Brokerage Client Support team, functional areas, and internal and external customers. For U.S. employment, appropriate FINRA licenses and compliance with state registration and licensing requirements must be obtained and maintained. Additional product or SAFE licensing may apply, as may enhanced financial fitness, criminal background, and ongoing regulatory screening requirements. The role is subject to FINRA background screening and is not eligible for visa sponsorship. The position is posted in Sarasota, Florida.

Requirements

At least 1 year of Brokerage and Client Services support experience, or equivalent demonstrated through work experience, training, military experience, or education.
For U.S. candidates: Successfully completed FINRA Series 7 and Series 63 examinations, or FINRA-recognized equivalents, sufficient to qualify for immediate FINRA registration.
Obtain and/or maintain appropriate FINRA licenses for ongoing employment, and comply with applicable state registration and licensing requirements.
Successfully complete and pass a background check prior to hire and meet ongoing regulatory obligations.
Not be subject to statutory disqualification from association with a FINRA-registered broker-dealer.

Nice To Haves

Experience in brokerage operations and support, including account management, account servicing, and compliance in a regulated environment.
Ability to deliver exceptional customer service and build strong relationships through active listening, responsiveness, and professionalism.
Strong written and verbal communication skills for interacting with clients, Financial Advisors, and business partners.
Experience with reporting and analysis, organizing information, identifying trends, and maintaining accurate data to support business decisions.
Strong administrative organization and task-management skills, including coordinating activities, maintaining records, and supporting operational processes.
Ability to prioritize multiple responsibilities, manage competing deadlines, and adapt in a fast-paced environment.
Ability to manage work independently while maintaining accountability, organization, and consistent follow-through.

Responsibilities

Assist Profit Formula financial advisors and financial consultants by providing sales and servicing support.
Proactively identify ways to improve administrative and operational processes and offer ideas for the work group.
Perform moderately complex administrative tasks, handle telephone calls and inquiries for research reports, and resolve account issues.
Establish and maintain files to meet regulatory requirements.
Create and produce reports and databases, and maintain files and records to support sales efforts.
Receive direction from supervisors and escalate non-routine questions to more experienced roles.
Interact with the immediate Profit Formula Brokerage Client Support team, functional areas, and internal and external customers on a wide range of information.
Follow applicable risk and compliance programs, policies, and procedures; escalate and remediate issues as required.

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