Senior Registered Client Associate, Wells Fargo

Wells Fargo

Location:
United States, Birmingham

Category:
Finance

Contract Type:
Employment contract

Salary:

Not provided

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Job Description:

Wells Fargo is seeking a Senior Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. The position involves providing support to Financial Advisors and branch personnel, managing complex client relationships, maintaining compliance standards, and proactively resolving business-related issues.

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 tracking referrals, coordinating, and executing marketing campaigns
establish and maintain files to meet the firm's regulatory requirements
establish and maintain 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
provide knowledge and systems support to branch personnel
provide training for entry-level Client Associates.

Requirements:

4+ years of Brokerage and Client Services experience or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
obtaining and/or maintaining appropriate FINRA license(s) is required
compliance with state law registration and licensing requirements is mandatory
meeting enhanced financial fitness and criminal background standards are required
successful completion and clearing of a background check are required.

Nice to have:

Brokerage client support experience
administrative support experience in financial services
experience interacting directly with customers
intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
client service focus with the ability to listen to customer needs and recommend solutions
ability to prioritize work, meet deadlines, achieve goals, and work in a dynamic and complex environment.

What we offer:

Equal opportunity employment
drug-free workplace policy.

Additional Information:

Job Posted:
May 09, 2025

Expiration:
May 14, 2025

Employment Type:

Fulltime

Work Type:

On-site work

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Senior Registered Client Associate