Senior Registered Client Associate

Wells Fargo • Tucson, AZ

1d • 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 Financial Advisor(s) with sales, service, and operational related activities such as providing service to clients via telephone, direct interaction and/or written correspondence. You will facilitate 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 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. 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. You will demonstrate seasoned judgment by handling complex clients with a high degree of professionalism. You will be viewed by peers as a subject matter expert and 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
• US only: 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.
• 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.

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 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 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 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

Benefits

• Wells Fargo is an equal opportunity employer.
• Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company.
• They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions.
• There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.
• Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
• Wells Fargo maintains a drug free workplace.

What This Job Offers

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