Wells Fargo
Financial Services
SeniorRegisteredClientAssociate
Neural analysis suggests this role is
optimal for Senior candidates.
“Senior Registered Client Associate at Wells Fargo. Skills: Client relationship management, Sales support, Financial advisory support. Assist Financial Advisor(s) with sales. Assist Financial Advisor(s) with service”
What You'll Achieve.
Service client relationships; Grow client relationships
Industry & Context.
Seek resolutions to client issues; Seek resolutions to business issues
FINRA registration, State law registration, Product licenses, SAFE licensing, Financial fitness standards, Criminal background standards, FINRA background screening, Meet ongoing regulatory obligations, Periodic screening, Mandatory reporting
What They're Looking For.
Must Have
2+ years Brokerage Client Services support experience, FINRA Series 7 and 63 examinations
Nice to Have
Brokerage client support experience, Administrative support experience, Experience interacting directly with customers, Intermediate Microsoft Office skills, Client service focus, Ability to prioritize work, Meet deadlines, Achieve goals, Work in dynamic environment
What You'll Do.
Assist Financial Advisor(s) with sales
Assist Financial Advisor(s) with service
Assist Financial Advisor(s) with operational activities
Provide service to clients via telephone
Provide service via direct interaction
Provide service via written correspondence
Facilitate Financial Advisor requests
Facilitate client requests for account information
Facilitate client requests for quotes
Schedule appointments with new clients
Prepare for appointments with new clients
Schedule appointments with prospective clients
Prepare for appointments with prospective clients
Establish client accounts
Service client accounts
Research account inquiries
Research account issues
Execute administrative functions
Coordinate marketing campaigns
Execute marketing campaigns
Maintain files to meet regulatory requirements
Establish record keeping
Maintain record keeping to support client relationships
Act as liaison for referral sources
Review paperwork for completeness
Forward paperwork to management
Utilize prior experience to anticipate issues
Proactively seek resolutions to client issues
Proactively seek resolutions to business issues
Handle complex clients
Provide knowledge support to branch personnel
Provide systems support to branch personnel
Provide training for Client Associates
How You'll Work.
Team & Collaboration
Branch personnel; Financial Advisor(s); Management
Communication Scope
Written correspondence; Client meetings
Full Job Description
**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 the career areas and business divisions at [wellsfargojobs.com](https://www.wellsfargojobs.com/career-areas/). **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, 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 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 ****Required 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, education * US only: Successfully c
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