Senior Registered Client Associate

Wells Fargo & Company • Clayton, MO

5d • 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 provides brokerage and client support, handles complex administrative and operational tasks, assists financial advisors and clients, and shares expertise with less experienced staff. The position requires appropriate FINRA and state registrations and licenses for ongoing employment, along with compliance with applicable regulatory, background-screening, and personal-account-dealing requirements. It 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, education, or a combination of these.
• For US applicants, successful completion of FINRA Series 7 and Series 63 examinations, or FINRA-recognized equivalents, sufficient to qualify for immediate FINRA registration.
• Obtain and/or maintain appropriate FINRA licenses for ongoing employment and comply with state registration and licensing requirements.
• Successfully complete the required background check and meet applicable FINRA background-screening standards and ongoing regulatory obligations.
• Comply with applicable policies concerning outside activities and personal investing.

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 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

• Support the performance of less experienced staff and assist in researching performance data for investment options.
• Provide proactive feedback and present ideas to improve or implement administrative and operational processes and tools within the Brokerage and Client Support functional area.
• Perform complex administrative tasks, including opening accounts and processing paperwork.
• Work with internal departments and clients to resolve service and operational issues.
• Process client service requests.
• Assist financial advisors by providing account information and quotes, establishing new accounts, and processing deliveries and payments.
• Provide subject matter expertise and interpret procedures for less experienced staff.
• Interact with the immediate Brokerage Client Support team, the broader functional area, internal peers outside the work group, and internal and external customers.
• Fulfill applicable risk and compliance obligations, follow Wells Fargo policies and procedures, and escalate and remediate issues as required.

What This Job Offers

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