Registered Client Associate
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 written correspondence. You will facilitate Financial Advisor and client requests for account-related information and 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 or issues. Additionally, you may perform various administrative functions for Financial Advisor(s) and Branch Management, such as tracking referrals, coordinating marketing campaigns, maintaining files for regulatory requirements, and supporting client relationship efforts. When applicable, you will act as a liaison for referral sources by reviewing paperwork for completeness and forwarding it to management.
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.
- 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
- Assist Financial Advisor(s) with sales, service and operational related activities
- Provide service to clients via telephone, direct interaction and/or written correspondence
- Facilitate Financial Advisor and client requests for account related information and/or quotes
- Schedule and prepare 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
- Track referrals
- Coordinate and execute marketing campaigns
- Establish and maintain files to meet the firm's regulatory requirements
- Establish and maintain filing and record keeping necessary to support efforts to service and grow client relationships
- Act 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.
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Entry Level
Education Level
No Education Listed
