Registered Client Associate

Wells Fargo Bank • Charlotte, NC

7d • 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 Profit Formula financial advisors and financial consultants by providing sales and servicing support. You will proactively seek ways to improve administrative and operational processes and offer ideas for your own work group. You will perform moderately complex administrative tasks, handle telephone calls, and other inquiries for research reports, as well as resolve account issues. You will establish and maintain files to meet regulatory requirements, create and produce reports and databases, and establish and maintain files and records to support sales efforts. You will receive direction from supervisors and escalate non-routine questions to more experienced roles. You will interact with the immediate Profit Formula Brokerage Client Support team and functional area on a wide range of information, as well as internal and external customers.

Requirements

• 1+ years 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

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 Profit Formula financial advisors and financial consultants by providing sales and servicing support
• Proactively seek ways to improve administrative and operational processes and offer ideas for own work group
• Perform moderately complex administrative tasks, handle telephone calls, and other inquiries for research reports as well as resolve account issues
• Establish and maintain files to meet regulatory requirements
• Create and produce reports as well as databases while establishing and maintaining files and records to support sales efforts
• Receive direction from supervisors and escalate non-routine questions to more experienced roles
• Interact with immediate Profit Formula Brokerage Client Support team and functional area on wide range of information, as well as internal and external customers

Benefits

• Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance.
• Information will be shared about expectations during the recruitment process
• 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.

What This Job Offers

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