Wells Fargo Registered Client Associate - Wealth Brokerage Service in BELLEVUE, Washington
At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity, and inclusion in a workplace where everyone feels valued and inspired. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.
About this role:
Wells Fargo is seeking a Brokerage Client Assistant - Registered in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about our career areas and lines of business at wellsfargojobs.com.
In this role you will:
Assist financial advisors and financial consultants by providing sales and servicing support
Proactively seek ways to improve administrative and operational processes, and offer ideas for own work group
Perform moderately complex administrative tasks, handle telephone calls, and other inquiries for research reports as well as resolve account issues
Establish and maintain files to meet regulatory requirements
Create and produce reports as well as databases while establishing and maintaining files and record to support sales efforts
Receive direction from supervisors and escalate non-routine questions to more experienced roles
Interact with immediate Brokerage Client Support team and functional area on wide range of information, as well as internal and external customers
- 2+ years of Brokerage and Client Services experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, and/or education
Brokerage industry experience
Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
Experience interacting directly with customers
Ability to provide administrative support, including responding to prospect/customer inquiries and requests for information
Brokerage client support experience
Knowledge and understanding of brokerage: systems or applications
Ability to work effectively in a team environment
Knowledge and understanding of administrative support: filing, faxing, copying, and data entry
Registration for FINRA Series 7 and 66 (or 65 and 63) must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance.
Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition to state registration, 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 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 may also be required
We Value Diversity
At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.
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.
Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
Candidates applying to job openings posted in Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.
Company: WELLS FARGO BANK
Req Number: R-228333-2
Updated: Tue Nov 22 00:00:00 UTC 2022
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