Senior Registered Client Associate

Wells Fargo•Holland, MI

8d•Onsite

About The Position

Wells Fargo is seeking a Senior Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. The role supports Financial Advisor(s) with sales, client service, and operational activities, including client communications, account requests, appointment preparation, account establishment and servicing, form preparation, and account research. The associate performs administrative work for Financial Advisor(s) and Branch Management, supports referral sources, and maintains files and records to meet regulatory requirements and support client relationships. The position calls for seasoned judgment when handling complex clients and proactive resolution of client and business issues. The associate is also a subject matter resource for peers, provides systems support to branch personnel, and trains entry-level Client Associates. Ongoing employment requires appropriate FINRA licensing and compliance with applicable state registration and licensing requirements. Additional product or SAFE licensing may apply. Candidates must meet enhanced financial fitness and criminal background standards and successfully pass FINRA background screening before hire. Ongoing regulatory screening and reporting obligations apply. The role is not eligible for visa sponsorship.

Requirements

At least 2 years of brokerage and client services support experience, or equivalent demonstrated through work experience, training, military experience, or education.
In the United States, successful completion of FINRA Series 7 and 63 examinations, or FINRA-recognized equivalents, sufficient to qualify for immediate FINRA registration.
Meet applicable enhanced financial fitness and criminal background standards and successfully pass a background check before hire.
Meet and comply with ongoing regulatory obligations, including periodic screening and mandatory reporting of certain incidents.
Not eligible for visa sponsorship.

Nice To Haves

Brokerage client support experience.
Administrative support experience in financial services.
Experience interacting directly with customers.
Intermediate Microsoft Office skills, including Word, Excel, Outlook, and PowerPoint.
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 activities, including client service by telephone, direct interaction, and written correspondence.
Handle Financial Advisor and client requests for account information and quotes; schedule and prepare for appointments; establish and service client accounts; prepare forms; and research account inquiries or issues.
Perform administrative functions for Financial Advisor(s) and Branch Management, including tracking referrals and coordinating and executing marketing campaigns.
Establish and maintain files and records required for regulatory compliance and to support servicing and growing client relationships.
Serve as liaison for referral sources by reviewing paperwork for completeness and forwarding it to management for review when applicable.
Use prior Registered Client Associate experience to anticipate and proactively resolve client and business-related issues.
Handle complex clients with a high degree of professionalism and seasoned judgment.
Provide subject-matter advice or guidance to peers.
Provide knowledge and systems support to branch personnel and train entry-level Client Associates.
Obtain and/or maintain appropriate FINRA licenses and comply with applicable state registration and licensing requirements.
Comply with applicable outside-activity and personal-investing policies, and fulfill ongoing regulatory screening and reporting obligations.