Registered Client Associate

Wells Fargo Bank•Los Angeles, CA

8d•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 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 schedule and prepare 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, and establishing and maintaining files to meet regulatory requirements and support 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
Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

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
Acts as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review