Senior Registered Client Associate

Wells Fargo•Woodbury, NY

2d•Onsite

About The Position

Wells Fargo is seeking a Senior Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. In this role, you will assist Profit Formula (PF) Financial Advisor(s) with sales, service, and operational activities. This includes providing service to clients via telephone, direct interaction, and/or written correspondence. You will facilitate Profit Formula Financial Advisor and client requests for account-related information and/or quotes, schedule and prepare for appointments with new or prospective clients, establish and service client accounts, prepare forms, and research account inquiries and/or issues. You will also execute various administrative functions for the Profit Formula Financial Advisor(s) and Branch Management, including tracking referrals, coordinating and executing marketing campaigns, and establishing and maintaining files to meet the firm's regulatory requirements. Additionally, you will act as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review when applicable. You will utilize prior experience in the Registered Client Associate role to anticipate and proactively seek resolutions to client and business-related issues, demonstrate seasoned judgment by handling complex clients with a high degree of professionalism, and be viewed by peers as a subject matter expert, sought by others for advice or guidance. You will also 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
US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Nice To Haves

Brokerage client support 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 Profit Formula (PF) Financial Advisor(s) with sales, service, and operational related activities such as providing service to clients via telephone, direct interaction and/or written correspondence
Facilitate Profit Formula Financial Advisor and client requests for account related information and/or quotes, schedule and prepare for appointments with new or prospective clients, establish and service client accounts, prepare forms, research account inquiries and/or issues
Execute various administrative functions for the Profit Formula Financial Advisor(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 when applicable
Utilize prior experience in the Registered Client Associate role to anticipate and proactively seek resolutions to client and business-related issues
Demonstrate seasoned judgment by handling complex clients with a high degree of professionalism
Provide knowledge and systems support to branch personnel and training for entry-level Client Associates