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Registered Client Associate – Private Client Group

wellsfargo Wells Fargo

Wells Fargo is a diversified community-based financial services company with a vision to satisfy customer’s financial needs and help them succeed financially.

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 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:

  • Assists Financial Advisor(s) with sales, service and operational related activities such as providing service to clients via telephone, direct interaction and/or written correspondence
  • Handling FA and client requests for account related information and/or quotes, scheduling and preparing for appointments with new or prospective clients
  • Establishing and servicing client accounts, preparing forms, researching account inquiries and/or issues
  • Soliciting and entering orders from clients, providing investment advice to clients, and cold calling 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

Required Qualifications:

  • 2+ 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 industry experience
  • Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
  • Experience interacting directly with customers
  • Ability to provide administrative support, including responding to prospect/customer inquiries and requests for information
  • Brokerage client support experience
  • Knowledge and understanding of brokerage: systems or applications
  • Ability to work effectively in a team environment
  • Knowledge and understanding of administrative support: filing, faxing, copying, and data entry

Job 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 required

Posting Location:

  • 770 Tamalpais Blvd Corte Madera, CA 94925

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.

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Registered Client Associate – Private Client Group

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Wells Fargo

Wells Fargo is a diversified community-based financial services company with a vision to satisfy customer’s financial needs and help them succeed financially.

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