Wells Fargo


Charlotte, North Carolina


United States

Postal Code:


Approximate Salary:

Not Specified

Position Type:

Full Time


415) 820-7800

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Trading Service Representative 4-Team Lead for Brokerage Services

Wells Fargo - Charlotte, North Carolina

Posted: 10/11/2018

Job Description

At Wells Fargo, we have one goal: to satisfy our customers’ financial needs and help them achieve their dreams. 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.

As a Team Member Manager, you are expected to achieve success by leading yourself, your team, and the business. Specifically you will:

  • Lead your team with integrity and create an environment where your team members feel included, valued, and supported to do work that energizes them.
  • Accomplish management responsibilities which include sourcing and hiring talented team members, providing ongoing coaching and feedback, recognizing and developing team members, identifying and managing risks, and completing daily management tasks.

  • Wells Fargo Advisors Investment Contact Center (ICC) helps clients succeed financially by providing specialized, world-class sales and service expertise to new and existing clients and partners. Our team members are dedicated to owning the quality of every interaction while being available when, where and how our clients and financial advisors need us. We believe in the Wells Fargo’s Vision & Value that states “It’s about building lifelong relationships one customer at a time.” Our foundation for success can be summarized in three beliefs in who we are and what we do: Our product is service. Our value added is financial guidance. Our competitive advantage is our people.

    Duties Include:

    Responsible for delivering exceptional service and demonstrating ownership of HNW client inquiries and requests until resolution. Proactive follow-up on client requests and/or outreaches to notify clients of account specific events. Demonstrates high competency in order to effectively and efficiently assist and educate clients on product and service offerings. Utilizes knowledge of the securities markets and solid understanding of fundamental and technical facts affecting the market to support clients’ needs. Facilitates complex equity, option, fixed income, mutual fund, and FX transactions for clients. Identifies internal business partners’ referral and business development opportunities. Assists with ad hoc projects assigned by management. May perform team lead duties and provide training and/or work direction to lower level staff. Complies with all standards, procedures, and regulations.

The WFA Investment Contact Center is 24x7; applicants need to be flexible between the hours of 7:00am-10:00pm EST, Monday-Friday and rotating Saturdays.

Required Qualifications

  • 2+ years of financial services experience
  • 3+ years of client service experience
  • Successfully completed FINRA Series 7, and 63 (or 66) exams to qualify for immediate registration (or FINRA recognized equivalents)
Desired Qualifications

  • A BS/BA degree or higher
  • Brokerage industry experience
  • Contact center experience
  • Ability to process complex transactions and perform extensive research to resolve complex customer issues
  • Experience delegating, coaching, training, and motivating
Job Expectations

  • Registration for FINRA Series 9/10 must be completed within 120 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.

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