Senior Registered Client Associate

Wells Fargo Bank•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. In this role, you will support the performance of less experienced staff and assist in research of performance data for investment options. You will proactively provide feedback and present ideas for improving or implementing administrative and operational processes and tools within the Brokerage and Client Support functional area. You will perform complex administrative tasks including opening accounts and processing paperwork, and work with internal departments and clients to solve service and operational issues. You will also process client service requests and provide assistance to financial advisors by furnishing account information and quotes, establishing new accounts, and processing deliveries and payments. Additionally, you will provide subject matter expertise and interpretation of procedures to less experienced staff and interact with your immediate Brokerage Client Support team, functional area, and internal peers outside your work group on a wide range of information, as well as internal and external customers.

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
Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position.
Compliance with state law registration and licensing requirements is mandatory.
In addition to state registration and licensing requirements, specific product licenses or SAFE licensing may apply.
Additional requirements include meeting enhanced financial fitness and criminal background standards.
Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance.
For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite is required
Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired.
This position is subject to FINRA background screening requirements.
Candidates must successfully complete and pass a background check prior to hire.
In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer.
Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
This position is not eligible for Visa sponsorship.

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

Support performance of less experienced staff and assist in research of performance data for investment options
Proactively provide feedback, and present ideas for improving or implementing administrative and operational processes and tools within Brokerage and Client Support functional area
Perform complex administrative tasks including opening accounts and processing paperwork
Work with internal departments and clients to solve service and operational issues
Process client service requests
Provide assistance to financial advisors by furnishing account information and quotes, establishing new accounts, and processing deliveries and payments
Provide subject matter expertise and interpretation of procedures to less experienced staff
Interact with immediate Brokerage Client Support team, functional area, and internal peers outside work group on wide range of information, as well as internal and external customers