Registered Client Associate
Company: Wells Fargo
Location: Waukesha
Posted on: May 17, 2023
Job Description:
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 . In this role you will:
- Assist 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
- May also perform various administrative functions for the
Financial Advisor(s) and Branch Management including, but not
limited to, tracking referrals, coordinating and executing
marketing campaigns, establishing and maintaining files to meet the
firm's regulatory requirements, and establishing and maintaining
filing and record keeping necessary to support efforts to service
and grow client relationships
- When applicable, acts as the liaison for all referral sources
by reviewing paperwork for completeness and forwarding to
management for review 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, and/or
education
- Successfully completed FINRA Series 7 and 63 exams to qualify
for immediate registration (or FINRA recognized equivalents Desired
Qualifications:
- Client service focus with the ability to respond to requests in
a timely manner
- Strong analytical skills with high attention to detail and
accuracy
- Brokerage industry experience
- Intermediate Microsoft Office (Word, Excel, Outlook, and
PowerPoint) skills
- 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
- Brokerage client support experience Job Expectations:
- 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: 20700 Swenson Dr, Waukesha,
Wisconsin 53186 We Value Diversity At 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, age, 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.
Drug and Alcohol Policy Wells Fargo maintains a drug free
workplace. Please see our Drug and Alcohol Policy to learn
more.
Keywords: Wells Fargo, Waukesha , Registered Client Associate, Other , Waukesha, Wisconsin
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