Wells Fargo · 8 hours ago
Senior Registered Client Associate
Franklin, VA
Full-time
Onsite
Mid, Senior Level
4+ years expWells Fargo is seeking a Senior Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. The role involves assisting Financial Advisors with sales, service, and operational activities while providing high-quality client service and support.
BankingFinancial ServicesFinTechInsurancePayments
No H1B
Responsibilities
Assist Profit Formula (PF) 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 Profit Formula Financial Advisor and client requests for account related information and/or quotes, schedule and prepare for appointments with new or prospective clients, establish and service client accounts, prepare forms, research account inquiries and/or issues
Execute various administrative functions for the Profit Formula 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
Act as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review when applicable
Utilize prior experience in the Registered Client Associate role to anticipate and proactively seek resolutions to client and business-related issues
Demonstrate seasoned judgment by handling complex clients with a high degree of professionalism
Viewed by peers as a subject matter expert and sought by others for advice or guidance
Provide knowledge and systems support to branch personnel and training for entry-level Client Associates
Qualification
Required
4+ years of Brokerage and Client Services experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
US only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory
This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire
This position is not eligible for Visa sponsorship
Preferred
Brokerage client support experience
Administrative support experience in financial services
Experience interacting directly with customers
Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
Client service focus with the ability to listen to customer needs and recommend solutions
Ability to prioritize work, meet deadlines, achieve goals, and work in a dynamic and complex environment
Company
Wells Fargo
Wells Fargo & Company is a financial services firm that provides banking, insurance, investments, and mortgage services.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
unknown1978-10-06IPO
Leadership Team
Charlie Scharf
CEO
Fernando Rivas
CEO of Corporate & Investment Banking
Recent News
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