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 our career areas and lines of business at wellsfargojobs.com .

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, establishing and servicing client accounts, preparing forms, researching account inquiries and/or issues
• Execute various administrative functions for the Financial Advisors(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 when applicable
• Utilize prior years of experience in the Registered Client Associate role, 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
• The position will be located in one of the central client associate 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:

• 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 66 (or 63 and 65) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

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

• Brokerage client support experience
• Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
• Ability to provide administrative support, including responding to prospect/customer inquiries and requests for information
• Knowledge and understanding of brokerage: systems or applications
• Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills

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

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:

• 3800 Howard Hughes Pkwy, Las Vegas, Nevada 89169

Pay Range
$23.13 - $41.11 Hourly
Benefits

Wells Fargo provides all eligible full- and part-time employees with a comprehensive set of benefits designed to protect their physical and financial health and to help them make the most of their financial future. Visit Benefits - Wells Fargo Careers for an overview of the following benefit plans and programs offered to employees.

• 401(k) Plan
• Paid Time Off
• Parental Leave
• Critical Caregiving Leave
• Discounts and Savings
• Health Benefits
• Commuter Benefits
• Tuition Reimbursement
• Scholarships for dependent children
• Adoption Reimbursement

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, age, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Drug and Alcohol Policy

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