Senior Registered Client Associate

Wells Fargo Bank•Bee Cave, TX

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. The role supports Profit Formula Financial Advisor(s) and Branch Management with client service, sales-related activities, account operations, and administrative work. The associate handles complex client matters professionally, anticipates and resolves client and business-related issues, and serves as a subject matter expert and resource for peers and branch personnel. The position is located at 13215 Bee Cave Pkwy Ste A150, Bee Cave, TX 78738. It is not eligible for visa sponsorship.

Requirements

At least 2 years of Brokerage and Client Services support experience, or equivalent experience demonstrated through work experience, training, military experience, or education.
In the US, 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.
Meet enhanced financial fitness and criminal background standards and successfully pass the required FINRA background screening before hire.
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 abide by applicable requirements if affected by policies regarding outside activities or personal investing.

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.
Respond to 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, maintaining files to meet regulatory requirements, and maintaining records that support servicing and growing client relationships.
Act as the 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 seek resolutions to client and business-related issues.
Handle complex clients with seasoned judgment and a high degree of professionalism.
Provide advice or guidance to peers and serve as a subject matter expert.
Provide knowledge and systems support to branch personnel and train entry-level Client Associates.
Maintain appropriate FINRA licenses and comply with state registration and licensing requirements and ongoing regulatory obligations.
Follow applicable Wells Fargo risk, compliance, and other policies and procedures, and escalate and remediate issues as required.