Senior Registered Client Associate

Wells Fargo • Savannah, GA

2d

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 Profit Formula Financial Advisors with client service, sales, operations, and administrative activities. The associate handles client and account requests, helps establish and service accounts, prepares for client appointments, researches account issues, and supports branch personnel. The position requires seasoned judgment in resolving complex client and business issues and serving as a subject matter expert for peers and entry-level Client Associates.

The role is based at 200 Stephenson Ave, Savannah, Georgia. Ongoing employment requires maintaining appropriate FINRA and state registrations and licenses, as well as compliance with applicable policies and regulatory obligations. This position 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.
• For U.S. candidates, successful completion of FINRA Series 7 and 63 examinations, or FINRA-recognized equivalents, sufficient to qualify for immediate FINRA registration.
• Maintain appropriate FINRA licenses for ongoing employment and comply with state law registration and licensing requirements.
• Successfully pass the required FINRA background screening and meet applicable enhanced financial fitness and criminal background standards.
• Meet 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, 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 with sales, service, and operational activities, including serving clients by telephone, in person, and in writing.
• Handle 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 and issues.
• Perform administrative functions for Financial Advisors and Branch Management, including tracking referrals, coordinating and executing marketing campaigns, and maintaining files and records required for regulatory compliance and client relationship support.
• Act as liaison for referral sources by reviewing paperwork for completeness and forwarding it to management for review when applicable.
• Anticipate client and business-related issues and proactively seek resolutions.
• Handle complex clients with a high degree of professionalism and seasoned judgment.
• Provide subject matter expertise and guidance to peers.
• Provide knowledge and systems support to branch personnel and training for entry-level Client Associates.
• Maintain appropriate FINRA licenses and comply with state registration and licensing requirements and ongoing regulatory obligations.

What This Job Offers

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