Senior Registered Client Associate - Private Client Group
Company: Wells Fargo
Location: Tempe
Posted on: June 19, 2022
Job Description:
At Wells Fargo, we are looking for talented people who will put
our customers at the center of everything we do. We are seeking
candidates who embrace diversity, equity, and inclusion in a
workplace where everyone feels valued and inspired.Help us build a
better Wells Fargo. It all begins with outstanding talent. It all
begins with you.About this role:Wells Fargo is seeking a Senior
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 wellsfargojobs.com .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
- Handle FA 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, solicit and enter
orders from clients, provide investment advice to clients, assist
in analysis of performance data for investment options, and cold
call potential clients for brokerage accounts under the direction
of the Financial Advisor and as securities licensing and
registrations permit
- May also perform various administrative functions for the FA(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
- Utilize prior years of 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 AssociatesRequired Qualifications:
- 4+ 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 66 (or 63 and 65)
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
- Strong organizational, multi-tasking, and prioritization
skills
- Good verbal, written, and interpersonal communication skills
- Brokerage client support experience
- Ability to prioritize work, meet deadlines, achieve goals, and
work under pressure in a dynamic and complex environment
- Ability to provide administrative support, including responding
to prospect/customer inquiries and requests for information
- Knowledge and understanding of brokerage: systems or
applications
- Ability to work effectively in a team environment
- Intermediate Microsoft Office (Word, Excel, Outlook, and
PowerPoint) skills
- Knowledge and understanding of administrative support: filing,
faxing, copying, and data entryJob Expectations:
- 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
- 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 requiredPrimary Job Posting Location:
- 161 E. Rivulon Blvd., Suite 201, Gilbert, AZ 85297 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, 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.
Keywords: Wells Fargo, Tempe , Senior Registered Client Associate - Private Client Group, Other , Tempe, Arizona
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