At Wells Fargo, we want to satisfy our customers’ financial needs and help them succeed financially. We’re looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you’ll feel valued and inspired to contribute your unique skills and experience.
Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.
Wealth and Investment Management (WIM) businesses build enduring client relationships through sound, thoughtful and objective advice. We help our clients by developing individualized plans for everything from retirement goals to business succession planning, to family legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, insurance and both individual and institutional retirement.
Provides marketing and service support to Financial Advisors (FAs) in addition to providing up to 25% supervisory review for the store and other support staff. Utilizes experience as a Reg Client Assoc to anticipate and proactively seek resolutions to client operational/service inquires. Exercises seasoned judgment by handling complex clients and their requests with a high degree of professionalism. Duties may include: opening accounts and processing paperwork; working with internal departments and/or directly with the clients in solving service/operational issues; providing info regarding procedural, product, or marketing questions; processing the movement of funds and securities; scheduling appointments for new and existing clients; monitoring and tracking referrals and results. Competence in following firm compliance procedures and file maintenance; issuing product marketing info to clients; preparing marketing packages; ordering supplies; maintaining file system for prospective and existing clients; reviewing paperwork for completeness and forwarding to management for review. At the direction of FA, may assist in performing analysis for the selection of new investments. Viewed as an experienced resource and sought by others for advice or guidance. Provides operational training for new hires for support staff and FAs, and assists in their transition into the org. At the direction of the Brokerage Admin Mgr or Regl Suppt Center Mgr will handle selected supervisory duties requiring a Principal license, including one or more of the following: Principal supervisory review and approval of: correspondence, report review, store inspections, coordinating marketing and seminar approvals, conducting mock audits, targeted follow-ups for compliance with systems, product disclosure and other policies. May not perform direct supervisory tasks on behalf of any FAs from whom the position receives comp overrides.Required Qualifications
- 2+ years of investment support experience
- Successfully completed FINRA Series 7, 9/10, and 63 exams to qualify for immediate registration (or FINRA recognized equivalents)
- Insurance licenses for designated insurance lines, considering state law restrictions
- Experience opening client brokerage accounts and adhering to compliance procedures
- Registered client associate experience: working with clients and internal departments to solve marketing, product, and service issues
- Experience preparing marketing packages and maintaining client records
- Ability to provide operational training for new hires
- Brokerage client support experience
- Ability to provide administrative support, including responding to prospect/customer inquiries and requests for information
- Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
- Knowledge and understanding of brokerage: systems or applications
- Registration for FINRA Series 66 (or 63 and 65) must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
- Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition state registration, 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 review process at the time of offer acceptance.
- All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.
Relevant military experience is considered for veterans and transitioning service men and women.
Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.