Senior Client Associate

Wells Fargo•Carlsbad, CA

2d•$31 - $46•Onsite

About The Position

Wells Fargo is seeking a Senior Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. In this role, you will assist Financial Advisor(s) with service and operational related activities, such as providing service to clients via telephone, direct interaction, and/or written correspondence. You will facilitate FA and client requests for account-related information and/or quotes. You will also schedule and prepare for appointments with new or prospective clients, establish and service client accounts, prepare forms, research account inquiries and/or issues, and enter security order tickets after approval by the FA(s). Additionally, you will execute functions for the FA(s) and Branch Management, including tracking referrals, coordinating and executing marketing campaigns, establishing and maintaining files to meet regulatory requirements, and establishing and maintaining filing and record-keeping necessary to support efforts to service and grow client relationships. You will often act as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review. Utilizing prior experience, you will anticipate and proactively seek resolutions to client and business-related issues. You will demonstrate seasoned judgment by handling complex clients with a high degree of professionalism. Viewed by peers as a subject matter expert, you will be sought by others for advice or guidance and provide knowledge and systems support to branch personnel and training for entry-level Client Associates.

Requirements

2+ 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
FINRA background screening requirements: Candidates must successfully complete and pass a background check prior to hire. 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 or financial services industry 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 service and operational related activities such as providing service to clients via telephone, direct interaction and/or written correspondence
Facilitate FA and client requests for account related information and/or quotes
Schedule and prepare for appointments with new or prospective clients, establishing and servicing client accounts, preparing forms, researching account inquiries and/or issues, and entering security order tickets after being approved by the FA(s)
Execute functions for the FA(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
Act as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review
Anticipate and proactively seek resolutions to client and business-related issues
Handle complex clients with a high degree of professionalism
Provide knowledge and systems support to branch personnel and training for entry-level Client Associates