Senior Registered Client Associate Job at Wells Fargo (BELLEVUE)

Senior Training Associate

Location

Philippines , Taguig City

Salary:

Not provided

Access Healthcare LLC

Expiration Date

Until further notice

Requirements

Passionate in facilitating for multiple programs and/or lines of business
Solid grasp of the Adult Learning Theory and Kirkpatrick Model
Expert in creating content, training material, assessments, and other training collateral
Proficiency in Microsoft Office Applications
Willing to work at our office in McKinley Hill, Taguig
Must be a Registered Nurse with active license
Minimum 2 years of training experience

Job Responsibility

Facilitate virtual and in-person training for new hire, skill enhancement, knowledge update and compliance training sessions
Send daily attendance, training, and class endorsement reports
Update class training dashboards, curriculum, modules, and assessments, as needed
Track and input trainee assessment and performance data
Perform skill, knowledge and behavior coaching sessions, as needed
Create weekly product knowledge tests, report completion and adherence reports
Perform root cause analysis, document insights, create recommendations and action plans on program KPIs
Participate in quality team calibration calls and submits calibration forms
Attend internal and external training and program calls, as needed
Execute and complete all HR-related governance processes and documentation

New

Senior Registered Client Associate

Wells Fargo is seeking a Senior Registered Client Associate in Wealth and Invest...

Location

United States , Frontenac

Salary:

Not provided

Wells Fargo

Expiration Date

June 06, 2026

Requirements

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 completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Job Responsibility

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 liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review when applicable
Utilize prior experience in 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
Provide knowledge and systems support to branch personnel and training for entry-level Client Associates

Fulltime

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Senior Registered Client Service Associate

Supports Financial advisors and their prospective and existing clients and other...

Location

United States , Saint Petersburg

Salary:

Not provided

Raymond James

Expiration Date

Until further notice

Requirements

High School Diploma or equivalent and five (5) years of financial services industry service experience, or an equivalent combination of experience, education, and/or training as approved by Human Resources
SIE required provided that an exemption or grandfathering cannot be applied
Series 7 required
Series 63, 65 and/or 66 as required by state
Ability to obtain additional securities and advisory state registrations if required by state
Knowledge of Company’s working structure, policies, mission, and strategies
Knowledge of Managed account platforms
Knowledge of General office practices, procedures, and methods
Knowledge of Advanced investment concepts, practices and procedures used in the securities industry
Knowledge of Financial markets, products and industry regulations

Job Responsibility

Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes and scheduling of meetings, with prospective and existing clients on the phone, in-person, virtually and through mailings
Helps manage and standardize best practices for various activities: new client on-boarding, large client liquidity events, private placement investment monitoring
Trading of both discretionary and non-discretionary products, model maintenance and performance tracking
Servicing of alternative investments and foreign accounts, including setup and maintenance
May participate in live meetings with the Financial Advisor and their respective client(s)
Manages budgeting and tracking of Financial Advisor expenses
Creates reports to build more practice efficiencies, identify key practice performance metrics, and helps implement processes to further enhance the team’s performance
Onboards new clients, opens new client accounts and researches client and security information using internal databases and other technologies
Ensures key client information and documentation is current with firm and industry requirements, rules and regulations
Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office

Fulltime

Senior Registered Client Service Associate

Celebrating more than 60 years of rich history and recognition for service and e...

Location

United States , Rochester

Salary:

45000.00 - 90000.00 USD / Year

Raymond James

Expiration Date

Until further notice

Requirements

High School Diploma or equivalent and five (5) years of financial services industry service experience, or an equivalent combination of experience, education, and/or training as approved by Human Resources
SIE required provided that an exemption or grandfathering cannot be applied
Series 7 required
Series 63, 65 and/or 66 as required by state
Ability to obtain additional securities and advisory state registrations if required by state
Knowledge of Company’s working structure, policies, mission, and strategies
Knowledge of Managed account platforms
Knowledge of General office practices, procedures, and methods
Knowledge of Advanced investment concepts, practices and procedures used in the securities industry
Knowledge of Financial markets, products and industry regulations

Job Responsibility

Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes and scheduling of meetings, with prospective and existing clients on the phone, in-person, virtually and through mailings
Helps manage and standardize best practices for various activities: new client on-boarding, large client liquidity events, private placement investment monitoring
Trading of both discretionary and non-discretionary products, model maintenance and performance tracking
Servicing of alternative investments and foreign accounts, including setup and maintenance
May participate in live meetings with the Financial Advisor and their respective client(s)
Manages budgeting and tracking of Financial Advisor expenses
Creates reports to build more practice efficiencies, identify key practice performance metrics, and helps implement processes to further enhance the team’s performance
Onboards new clients, opens new client accounts and researches client and security information using internal databases and other technologies
Ensures key client information and documentation is current with firm and industry requirements, rules and regulations
Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office

Fulltime

Senior Registered Client Service Associate

Supports Financial advisors and their prospective and existing clients and other...

Location

United States , Cottonwood Heights

Salary:

Not provided

Raymond James

Expiration Date

Until further notice

Requirements

High School Diploma or equivalent and five (5) years of financial services industry service experience, or an equivalent combination of experience, education, and/or training as approved by Human Resources
SIE required provided that an exemption or grandfathering cannot be applied
Series 7 required
Series 63, 65 and/or 66 as required by state
Ability to obtain additional securities and advisory state registrations if required by state
Knowledge of Company’s working structure, policies, mission, and strategies
Knowledge of Managed account platforms
Knowledge of General office practices, procedures, and methods
Knowledge of Advanced investment concepts, practices and procedures used in the securities industry
Knowledge of Financial markets, products and industry regulations

Job Responsibility

Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes and scheduling of meetings, with prospective and existing clients on the phone, in-person, virtually and through mailings
Helps manage and standardize best practices for various activities: new client on-boarding, large client liquidity events, private placement investment monitoring
Trading of both discretionary and non-discretionary products, model maintenance and performance tracking
Servicing of alternative investments and foreign accounts, including setup and maintenance
May participate in live meetings with the Financial Advisor and their respective client(s)
Manages budgeting and tracking of Financial Advisor expenses
Creates reports to build more practice efficiencies, identify key practice performance metrics, and helps implement processes to further enhance the team’s performance
Onboards new clients, opens new client accounts and researches client and security information using internal databases and other technologies
Ensures key client information and documentation is current with firm and industry requirements, rules and regulations
Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office

Fulltime

Senior Registered Client Service Associate

Supports Financial advisors and their prospective and existing clients and other...

Location

United States , Boca Raton

Salary:

Not provided

Raymond James

Expiration Date

Until further notice

Requirements

High School Diploma or equivalent and five (5) years of financial services industry service experience, or an equivalent combination of experience, education, and/or training as approved by Human Resources
SIE required provided that an exemption or grandfathering cannot be applied
Series 7 required
Series 63, 65 and/or 66 as required by state
Ability to obtain additional securities and advisory state registrations if required by state
Knowledge of Company’s working structure, policies, mission, and strategies
Knowledge of Managed account platforms
Knowledge of General office practices, procedures, and methods
Knowledge of Advanced investment concepts, practices and procedures used in the securities industry
Knowledge of Financial markets, products and industry regulations

Job Responsibility

Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes and scheduling of meetings, with prospective and existing clients on the phone, in-person, virtually and through mailings
Helps manage and standardize best practices for various activities: new client on-boarding, large client liquidity events, private placement investment monitoring
Trading of both discretionary and non-discretionary products, model maintenance and performance tracking
Servicing of alternative investments and foreign accounts, including setup and maintenance
May participate in live meetings with the Financial Advisor and their respective client(s)
Manages budgeting and tracking of Financial Advisor expenses
Creates reports to build more practice efficiencies, identify key practice performance metrics, and helps implement processes to further enhance the team’s performance
Onboards new clients, opens new client accounts and researches client and security information using internal databases and other technologies
Ensures key client information and documentation is current with firm and industry requirements, rules and regulations
Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office

Fulltime

Senior Registered Client Service Associate

Supports Financial advisors and their prospective and existing clients and other...

Location

United States , Winter Haven

Salary:

Not provided

Raymond James

Expiration Date

Until further notice

Requirements

High School Diploma or equivalent and five (5) years of financial services industry service experience, or an equivalent combination of experience, education, and/or training as approved by Human Resources
SIE required provided that an exemption or grandfathering cannot be applied
Series 7 required
Series 63, 65 and/or 66 as required by state
Ability to obtain additional securities and advisory state registrations if required by state
Knowledge of: Company’s working structure, policies, mission, and strategies
Managed account platforms
General office practices, procedures, and methods
Advanced investment concepts, practices and procedures used in the securities industry
Financial markets, products and industry regulations

Job Responsibility

Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes and scheduling of meetings, with prospective and existing clients on the phone, in-person, virtually and through mailings
Helps manage and standardize best practices for various activities: new client on-boarding, large client liquidity events, private placement investment monitoring
Trading of both discretionary and non-discretionary products, model maintenance and performance tracking
Servicing of alternative investments and foreign accounts, including setup and maintenance
May participate in live meetings with the Financial Advisor and their respective client(s)
Manages budgeting and tracking of Financial Advisor expenses
Creates reports to build more practice efficiencies, identify key practice performance metrics, and helps implement processes to further enhance the team’s performance
Onboards new clients, opens new client accounts and researches client and security information using internal databases and other technologies
Ensures key client information and documentation is current with firm and industry requirements, rules and regulations
Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office

Fulltime

Senior Registered Client Service Associate

Supports Financial advisors and their prospective and existing clients and other...

Location

United States , Stuart

Salary:

Not provided

Raymond James

Expiration Date

Until further notice

Requirements

High School Diploma or equivalent and five (5) years of financial services industry service experience, or an equivalent combination of experience, education, and/or training as approved by Human Resources
SIE required provided that an exemption or grandfathering cannot be applied
Series 7 required
Series 63, 65 and/or 66 as required by state
Ability to obtain additional securities and advisory state registrations if required by state
Knowledge of: Company’s working structure, policies, mission, and strategies
Managed account platforms
General office practices, procedures, and methods
Advanced investment concepts, practices and procedures used in the securities industry
Financial markets, products and industry regulations

Job Responsibility

Serves as first point of contact to service a high volume of daily interactions, including basic inquiries, providing quotes and scheduling of meetings, with prospective and existing clients on the phone, in-person, virtually and through mailings
Helps manage and standardize best practices for various activities: new client on-boarding, large client liquidity events, private placement investment monitoring
Trading of both discretionary and non-discretionary products, model maintenance and performance tracking
Servicing of alternative investments and foreign accounts, including setup and maintenance
May participate in live meetings with the Financial Advisor and their respective client(s)
Manages budgeting and tracking of Financial Advisor expenses
Creates reports to build more practice efficiencies, identify key practice performance metrics, and helps implement processes to further enhance the team’s performance
Onboards new clients, opens new client accounts and researches client and security information using internal databases and other technologies
Ensures key client information and documentation is current with firm and industry requirements, rules and regulations
Works both independently and within a dynamic team environment to provide crucial support to the financial advisors and branch office

Fulltime

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