Registered Client Associate

About this role:Wells Fargo is seeking a Registered Client Associate 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 FINET independent 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, scheduling and preparing for appointments with new or prospective clients

Establish and service client accounts, prepare forms, research account inquiries and/or issues

Responsible for tracking and assigning tasks to other Client Associates

Perform various administrative functions for the Financial Advisor(s) and Branch Management including, but not limited to, tracking referrals, coordinating, and executing marketing campaigns

The position will be located in one of the central CA Utility locations and will assist financial advisors in other areas of the country on an as needed/assigned basis

Working hours will be based on the work location and the geographical location of assigned financial advisors to ensure coverage during regular business hours in their respective locations

Required Qualifications:

2+ years of Brokerage and Client Services 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: Obtain and/or maintain 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 may also be required

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.This position is not eligible for Visa sponsorship.Posting location:1525 W W T Harris BlvdCharlotte, NC 28262Posting End Date:28 Apr 2024Job posting may come down early due to volume of applicants.We Value DiversityAt 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, status as a protected veteran, or any other legally protected characteristic.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.Applicants with DisabilitiesTo request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo .Drug and Alcohol PolicyWells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.Company: WELLS FARGO BANKReq Number: R-361812Updated: Thu Apr 18 00:00:00 UTC 2024Location: CHARLOTTE,North Carolina