Senior Registered Client Associate

Wells Fargo•Bee Cave, TX

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. The role supports Profit Formula Financial Advisor(s), clients, and branch management through client service, account administration, operational assistance, and relationship-growth activities. The associate is expected to handle complex client matters professionally, proactively resolve client and business issues, serve as a subject matter expert, and provide systems support and training to entry-level Client Associates. The position requires at least two years of brokerage and client services support experience, or equivalent experience, training, military experience, or education. For U.S. candidates, successful completion of FINRA Series 7 and 63 examinations, or recognized equivalents sufficient for immediate FINRA registration, is required. Appropriate FINRA and state licenses must be obtained and maintained for ongoing employment. The position is subject to FINRA background screening and other stated regulatory, financial fitness, and criminal background requirements. It is not eligible for visa sponsorship. The posting location is 13215 Bee Cave Pkwy Ste A150, Bee Cave, TX 78738. The posting end date is October 28, 2026, though the posting may come down earlier due to applicant volume.

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.
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 requirements.
Meet enhanced financial fitness and criminal background standards.
Comply with ongoing regulatory obligations, including periodic screening and mandatory reporting of certain incidents.
Provide information to the Wells Fargo Personal Account Dealing Team and comply with applicable policies concerning outside activities and personal investing, if applicable.

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 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 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 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.
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 resolve client and business-related issues.
Handle complex clients with seasoned judgment and a high degree of professionalism.
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.
Follow applicable Wells Fargo risk, compliance, and regulatory policies and procedures, fulfill risk and compliance obligations, and escalate or remediate issues as required.
Obtain and maintain appropriate FINRA and state registrations and licenses for ongoing employment.