Senior Registered Client Associate

Wells Fargo Bank • Holland, MI

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 Financial Advisors and Branch Management through client service, sales-related and operational activities, account administration, regulatory recordkeeping, referral coordination, and marketing support. The associate is expected to use prior experience to anticipate and resolve complex client and business issues, serve as a subject matter resource to peers, and support and train entry-level Client Associates.

Requirements

• At least 2 years of brokerage and client services support experience, or equivalent demonstrated through work experience, training, military experience, or education.
• In the United States, 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; specific product licenses or SAFE licensing may apply.
• Meet enhanced financial fitness and criminal background standards and successfully pass a background check before hire.
• Meet ongoing regulatory obligations, including periodic screening and mandatory reporting of certain incidents.
• Comply with applicable policies concerning outside activities and personal investing, including providing information to the Wells Fargo Personal Account Dealing Team when required.
• 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 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

• Assist Financial Advisors with sales, service, and operational activities, including client service by telephone, direct interaction, and written correspondence.
• Handle Financial 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 Advisors and Branch Management, including tracking referrals, coordinating and executing marketing campaigns, maintaining files for regulatory requirements, and keeping records that support client relationships.
• Act as the liaison for referral sources by reviewing paperwork for completeness and forwarding it to management for review when applicable.
• Anticipate and proactively seek resolutions to client and business-related issues, using prior Registered Client Associate experience.
• Handle complex clients with a high degree of professionalism and provide advice or guidance as a subject matter expert.
• Provide knowledge and systems support to branch personnel and train entry-level Client Associates.
• Follow applicable Wells Fargo risk, compliance, and regulatory requirements, including escalating and remediating issues as appropriate.

What This Job Offers

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