Senior Registered Client Associate

Senior Registered Client Associate In Wealth And Investment ManagementWells Fargo is seeking a Senior Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the career areas and business divisions at wellsfargojobs.com.In this role, you will: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 correspondenceFacilitate 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 issuesExecute 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 relationshipsAct as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review when applicableUtilize prior experience in the Registered Client Associate role to anticipate and proactively seek resolutions to client and business-related issuesDemonstrate seasoned judgment by handling complex clients with a high degree of professionalismViewed by peers as a subject matter expert and sought by others for advice or guidanceProvide knowledge and systems support to branch personnel and training for entry-level Client AssociatesRequired Qualifications:2+ years of Brokerage and Client Services support experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, educationUS only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registrationDesired Qualifications:Brokerage client support experienceAdministrative support experience in financial servicesExperience interacting directly with customersIntermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skillsClient service focus with the ability to listen to customer needs and recommend solutionsAbility to prioritize work, meet deadlines, achieve goals, and work in a dynamic and complex environmentJob Expectations: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. 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 is requiredSpecific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment processThis position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.This position is not eligible for Visa sponsorship.