Senior Registered Client Associate

Wells Fargo•Palm Beach, FL

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, while helping establish and grow client relationships. It also involves handling complex client matters, serving as a subject matter expert, and providing systems support and training to branch personnel and entry-level Client Associates. The position requires appropriate FINRA registration and compliance with state licensing and other regulatory requirements. It is subject to FINRA background screening, and candidates must pass a background check before hire. The position is not eligible for Visa sponsorship. The posting location is 255 S County Rd, Palm Beach, FL 33480-4255.

Requirements

2+ years of Brokerage and Client Services support experience, or equivalent demonstrated through work experience, training, military experience, or education.
For US candidates, successful completion of FINRA Series 7 and 63 examinations, or FINRA-recognized equivalents, sufficient to qualify for immediate FINRA registration.
Obtain and/or maintain appropriate FINRA license(s) for ongoing employment and comply with state law registration and licensing requirements.
Meet enhanced financial fitness and criminal background standards and successfully pass the required background check before hire.
Comply with ongoing regulatory obligations, including 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 skills, including Word, Excel, Outlook, and PowerPoint.
Client service focus, including 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 serving clients by telephone, direct interaction, and written correspondence.
Facilitate Financial Advisor and client requests for account information and quotes; schedule and prepare for appointments with new or prospective clients; 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, coordinating and executing marketing campaigns, maintaining files for regulatory requirements, and maintaining records that support servicing and growing client relationships.
Act 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 seek resolutions to client and business-related issues.
Handle complex clients with a high degree of professionalism and seasoned judgment.
Serve as a subject matter expert and provide advice or guidance to peers.
Provide knowledge and systems support to branch personnel and train entry-level Client Associates.
Maintain appropriate FINRA licenses and comply with applicable state law registration and licensing requirements and ongoing regulatory obligations.
Follow applicable Wells Fargo risk and compliance programs, policies, and procedures; escalate and remediate issues as required.