Senior Registered Client Associate

Wells Fargo Bank • Berwyn, PA

18h • 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 Profit Formula Financial Advisor(s) with client service, sales-related activities, and operational and administrative work. The associate serves as a liaison for referral sources, proactively resolves client and business issues, and provides systems support and training to branch personnel. The position requires appropriate FINRA and state registrations and licenses, compliance with regulatory obligations, and successful completion of a background check. It is not eligible for visa sponsorship.

Requirements

• At least 2 years of brokerage and client services support experience, or equivalent experience demonstrated through work, training, military experience, or education.
• Successfully completed FINRA Series 7 and Series 63 examinations, or FINRA-recognized equivalents, sufficient to qualify for immediate FINRA registration (US only).
• Obtain and/or maintain appropriate FINRA licenses for ongoing employment and comply with state registration and licensing requirements.
• Meet enhanced financial fitness and criminal background standards and successfully pass the required background check before hire.
• Meet ongoing regulatory obligations, including periodic screening and mandatory reporting of certain incidents.
• Not be subject to statutory disqualification from association with a FINRA-registered broker-dealer.
• Comply with applicable policies regarding outside activities and personal investing, including providing information to the Wells Fargo Personal Account Dealing Team when required.
• The Securities Industry Essentials (SIE) exam is a co-requisite for specific FINRA qualification exams obtained after September 30, 2018.

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 and 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 Advisor(s) with sales, service, and operational activities, including serving clients by telephone, direct interaction, and written correspondence.
• Handle advisor and client requests for account information and quotes; schedule and prepare appointments with new or prospective clients; establish and service client accounts; prepare forms; and research account inquiries and issues.
• Perform administrative functions for Financial Advisor(s) and Branch Management, including tracking referrals, coordinating and executing marketing campaigns, and maintaining files and records required for regulatory compliance and client relationship support.
• 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 seek resolutions to client and business-related issues.
• Handle complex clients with seasoned judgment and a high degree of professionalism.
• Provide advice or guidance as a subject matter expert to peers.
• Provide knowledge and systems support to branch personnel and train entry-level Client Associates.
• Comply with applicable risk and compliance programs, policies, procedures, regulatory obligations, and reporting requirements.

What This Job Offers

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