Senior Registered Client Associate - Wealth Brokerage Services
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Wealth and Investment Management (WIM) is one of the company's four main divisions. WIM businesses build enduring client relationships through sound, thoughtful and objective advice. We help our clients by developing individualized plans for everything from retirement goals to business succession planning, to family legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, insurance and both individual and institutional retirement.
Wealth Management (WM): Wealth Management business is a leading provider of financial services to high-net worth clients through Wells Fargo Private Bank, and to the affluent segment through partnerships between Wealth Brokerage Services and the Community Bank. In Wealth Management, clients are provided with a complete range of solutions to help them manage, preserve and transfer their wealth.
Assists financial consultants and financial advisors by providing sales and servicing support. Utilizes past experience as a registered brokerage associate to anticipate and proactively seek resolutions to client problems. Demonstrates seasoned judgment by handling difficult clients with a high degree of professionalism. Duties may include: opening accounts and processing paperwork; working with internal departments and/or directly with the client in solving service/operational issues, answering or providing information regarding procedural/sales questions, and processing client service requests; processing the movement of funds and equities; scheduling appointments for new and existing clients; monitoring and tracking referrals and sales results; consistent level of competence in following firm compliance procedures and file maintenance; issuing sales/marketing information to clients; preparing sales packages; ordering supplies; maintaining file system for clients; reviewing paperwork for completeness and forwarding to management for review. At the direction of financial consultant or financial advisor, may assist in analysis of performance data for investment options. Viewed by peers as a subject matter expert, and sought by others for advice or guidance. Provides operational training for new hires, both support staff, financial consultants, and financial advisors, and assists in their assimilation into the organization. May provide work direction for junior support staff. May act as a back-up in taking and executing unsolicited investment orders directly from clients and/or via toll-free number. 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 the work location and the geographical location of assigned financial advisors to ensure coverage during regular business hours in their respective locations.
- Successfully completed FINRA Series 7, 63 and 65 or 7 and 66 exams to qualify for immediate registration (or FINRA recognized equivalents)
- 5+ years of brokerage sales support experience
- Client service focus with the ability to respond to requests in a timely manner
- Strong analytical skills with high attention to detail and accuracy
- Strong organizational, multi tasking, and prioritizing skills
- Good verbal, written, and interpersonal communication skills
- Brokerage client support experience
- State Insurance License
- Ability to provide administrative support, including responding to prospect/customer inquiries and requests for information
- Ability to work effectively in a team environment
- Knowledge and understanding of brokerage or administrative support
- Knowledge and understanding of brokerage: systems or applications
- Experience interacting directly with customers
- Designated insurance license requirements must be completed within 120 days of hire date. 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.
All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.
Relevant military experience is considered for veterans and transitioning service men and women.
Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.
0219835 WEALTH INV MGMT/WIM PSI
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