Registered Client Associate – Wealth Brokerage Services
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.
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. 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 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
- Brokerage client support experience
- State Insurance License
- Ability to provide administrative support, including responding to prospect/customer inquiries and requests for information
- Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
- Knowledge and understanding of administrative support: filing, faxing, copying, and data entry
- Knowledge and understanding of brokerage or administrative support
- Designated insurance license requirements must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. 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
NC-Charlotte: 1525 W Wt Harris Blvd - Charlotte, NC
- 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.