Senior Registered Client Associate

About this role:

Wells Fargo is seeking a Senior Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the career areas and business divisions at  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

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

Viewed by peers as a subject matter expert and sought by others for advice or guidance

Provide knowledge and systems support to branch personnel and training for entry-level Client Associates

Required Qualifications:

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

Desired

Qualifications:

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

Job Expectations:

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. 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. Information will be shared about expectations during the recruitment process

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.

Posting

Location:

310 Heights Road, Darien, CT 06820

Pay Range Reflected is the base pay range offered for this position. Pay may vary depending on factors…