Senior Registered Client Associate

Wells Fargo • Houston, 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 Financial Advisor(s) and Branch Management with client service, sales-related and operational activities. The associate handles complex client matters professionally, anticipates client and business needs, and is regarded by peers as a subject matter expert. The position also provides systems and process support to branch personnel and training for entry-level Client Associates.

The position is subject to FINRA registration, state licensing and compliance requirements, background screening, and applicable financial fitness and criminal background standards. It is not eligible for Visa sponsorship. The posted location is 2700 Post Oak Blvd, Suite 900, Houston, Texas 77056. The posting end date is November 5, 2026, although the posting may be removed earlier due to applicant volume.

Requirements

• At least 2 years of Brokerage and Client Services support experience, or equivalent experience demonstrated through work experience, training, military experience, or education.
• For US roles, successful completion of FINRA Series 7 and 63 examinations, or FINRA-recognized equivalents, sufficient to qualify for immediate FINRA registration.
• For ongoing employment in the US, obtain and/or maintain appropriate FINRA licenses and comply with state law registration and licensing requirements; additional product or SAFE licensing may apply.
• Successfully pass the required FINRA background check before hire and meet applicable enhanced financial fitness and criminal background standards.
• 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.
• Represent one's own experience during the recruiting and hiring process.

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 Advisor(s) with sales, service, and operational activities, including responding to clients 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 or issues.
• Perform administrative functions for Financial Advisor(s) and Branch Management, including tracking referrals, coordinating and executing marketing campaigns, and maintaining files and records to meet regulatory requirements and support client relationships.
• Serve 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 a high degree of professionalism and seasoned judgment.
• Provide subject matter expertise, advice, or guidance to peers.
• Provide knowledge and systems support to branch personnel and train entry-level Client Associates.
• Follow applicable risk and compliance programs, policies, procedures, and regulatory obligations; escalate and remediate issues as appropriate.

What This Job Offers

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