Trading/Service Representative 2

Job Description
At Wells Fargo, we want to satisfy our customers' financial needs and help them succeed financially. We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll feel valued and inspired to contribute your unique skills and experience.
Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.
Wealth and Investment Management (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.
The Trading Service Representative 2 position is part of the Advisory Operations Portfolio Implementation team supporting our Firm Directed Products. Our team provides oversight, trading implementation and overlay support for the firm's Allocation Advisors, Compass, Diversified Managed Accounts (DMA), Intuitive Investors and Masters advisory products. These products represent over $90 billion in assets under management and approximately 370,000 accounts. Specifically, this team is responsible for a diverse set of operational tasks including: trading new accounts, terminations, handling cash flows, investing and raising cash, submitting trades based on Investment Manager decisions and target portfolio allocations, running security drift reconciliation reports, tax harvesting and blend switches.

Responsibilities include:
• Execute and confirm moderately complex securities transactions initiated by clients
• Provide quality customer service
• Serve as a front line problem solver
• Address issues, trading strategies, market terminology, account status or any concerns

Required Qualifications

  • 1+ year of client service experience
  • Successfully completed FINRA Series 7, and 63 (or 66) exams to qualify for immediate registration (or FINRA recognized equivalents)

Desired Qualifications
  • Intermediate Microsoft Office skills
  • Good attention to detail and accuracy skills
  • Excellent verbal, written, and interpersonal communication skills
  • Ability to understand client concerns, questions, and problems pertaining to financial transactions
  • 1+ year of brokerage operations experience
  • 1+ year of customer service experience
  • Microsoft Excel spreadsheets experience importing, exporting, and manipulating data
  • Ability to identify and assess issues then make sound decisions
  • Ability to navigate multiple computer systems, applications, and utilize search tools to find information
  • Exposure to Wells Fargo managed account trading systems such as: APL, MMS, Beta, Working SEI, Advent/Moxy, or Factset
  • Knowledge and understanding of equity and fixed income trading
  • Knowledge and understanding of equity portfolio and risk management techniques associated with investment products
  • Knowledge and understanding of investment decision support, investment modeling, or trading systems
  • Knowledge and understanding of mutual fund or investment industry
  • Strong organizational, multi-tasking, and prioritizing skills

Job Expectations
  • 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


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.

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