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    Registered Client Associate - Saint Louis, United States - Wells Fargo

    Wells Fargo
    Wells Fargo Saint Louis, United States

    1 week ago

    Wells Fargo background
    Full time
    Description

    Job Description:

    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


    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, scheduling and preparing for appointments with new or prospective clients
    • Establish and service client accounts, prepare forms, research account inquiries and/or issues
    • Perform various administrative functions for the Financial Advisor(s) and Branch Management including, but not limited to, tracking referrals, coordinating, and executing marketing campaigns
    • Act as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review
    • The position will be located in one of the central CA Utility locations and will assist financial advisors in other areas of the country on an as needed/assigned basis
    • Working hours will be based on the work location and the geographical location of assigned financial advisors to ensure coverage during regular business hours in their respective locations

    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 63 exams to qualify for immediate registration (or FINRA recognized equivalents

    Desired Qualifications:

    • Client service and focus with the ability to respond to requests in a timely manner
    • Strong analytical skills with high attention to detail and accuracy
    • Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
    • Prioritize work, meet deadlines, achieve goals, and work in a dynamic and complex environment
    • Ability to provide administrative support, including responding to prospect/customer inquiries and requests for information comes
    • Brokerage client support experience including systems and applications

    Job expectations:

    • Obtain and/or maintain 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
    This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check.

    Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification.

    Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

    This position is not eligible for Visa sponsorship.

    Posting location: 2710 Pine St. E Bldg., Saint Louis, Missouri 63103


    Posting End Date:
    19 May 2024


    • Job posting may come down early due to volume of applicants.
    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, status as a protected veteran, or any other legally protected characteristic.


    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.

    Applicants with Disabilities

    To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

    Drug and Alcohol Policy

    Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more.
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