Brokerage Client Assistant

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 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:Support Financial Advisory team and their clients by providing account information or quotes, entering Financial Advisory approved security tickets and various administrative tasks

Identify ways to improve Brokerage Client Support processes and offer Brokerage Client Support work group ideas

Perform moderately complex administrative and operational tasks within Brokerage Client Support functional area

Handle telephone calls or respond to inquiries and requests for researching of reports and account related issues

Establish and maintain files to meet the firms regulatory requirements

Create, produce, and maintain reports, databases, and record keeping for the purpose of growing client relationships

Receive direction from supervisor and Financial Advisory functional area and escalate non-routine questions

Interact with Financial Advisory functional area on wider range of inquiries or requests, as well as internal and external customers

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

Desired Qualifications:Brokerage industry experience

Financial services industry experience

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

Ability to work effectively, as well as independently, in a team environment

Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills

Knowledge and understanding of brokerage or administrative support

Job Expectations:FINRA Series 7, 63 and 65 or (66) examinations, or equivalent must be completed within either a 90 or 180-day time period following commencement of employment, depending upon the 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.

Compliance with state law requirements is required.

Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition 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.

Posting Location:5201 W Amelia Earhart Drive Salt Lake City, UT 84116

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, 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 FargoReq Number: R-158730Updated: Fri Apr 29 08:02:32 GMT 2022Location: Salt Lake City,Utah