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Wells Fargo · 1 day ago

senior registered client associate profit formula

LA JOLLA, CA

Full-time

Onsite

Mid, Senior Level

$34.62/hr - $52.40/hr

4+ years exp

Wells Fargo is seeking a Senior Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. The role involves assisting Financial Advisors with client service, operational activities, and administrative functions to support client relationships and business growth.

BankingFinancial ServicesFinTechInsurancePayments

No H1B

Responsibilities

Assist Profit Formula (PF) 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 Profit Formula 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 Profit Formula Financial Advisor(s) and Branch Management including, but not limited to, tracking referrals, coordinating, and executing marketing campaigns, establishing, and maintaining files to meet the firm's regulatory requirements, and establishing and maintaining 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

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

Qualification

Brokerage experienceClient services experienceFINRA Series 7FINRA Series 63Microsoft OfficeCustomer interactionClient service focusAdministrative supportPrioritize

Required

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

US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration