WBS Registered Client Assoc
Assists financial consultants and financial advisors by providing sales and servicing support. 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 (address changes, statement copies, etc.); processing the movement of funds and equities; scheduling appointments for new and existing clients; monitoring and tracking referrals and sales results; maintaining compliance files; issuing sales/marketing information to clients; preparing sales packages; ordering supplies; maintaining file system for prospective and existing clients; reviewing paperwork for completeness and forwarding to management for review. May act as a back-up in taking and executing unsolicited investment orders directly from clients and/or via toll-free number.
- Successfully completed FINRA Series 7 and 63 or 7 and 66 exams to qualify for immediate registration (or FINRA recognized equivalents)
- 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
Other Desired Qualifications
- Brokerage client support experience
- Knowledge and understanding of brokerage functions support
- Financial services industry experience
- 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.
0208146 WEALTH INV MGMT/WIM PSI
Meet Some of Wells Fargo's Employees
Business Online Banking Specialist Representative
Veiongo secures Wells Fargo’s online business banking transactions and customer subscriptions and manages customer-care issues, including password sign-ins, account verifications, and document authorizations.
Back to top