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Registered Client Associate - Private Client Group

  • Client Management
  • Full time
  • R-221678

Why work for us? 

At Wells Fargo, we support employees’ career aspirations and growth. We ranked #3 on the 2022 LinkedIn Top Companies list – and #1 among financial services companies – as the best workplace “to grow your career” in the U.S. We’re proud of our employee-welfare-centered business approach and our commitment to diversity, equity, and inclusion in the workplace. We also offer competitive salaries and one of the richest benefits packages in the industry.

What You’ll Do:

  • 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
  • May also perform various administrative functions for the 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
  • When applicable, acts as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review  

Who You Are:

You’ve established yourself with at least 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). You’re ready for the next level within a Fortune 500 company known as a Global Leader in Finance and Banking. Our internal mobility is attractive to you to come in and prosper within your career within a single organization. 

You’ve also successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for immediate registration (or FINRA recognized equivalents.

Desired Qualifications:

  • You’ve mastered client service and focus with the ability to respond to requests in a timely manner 
  • You possess strong analytical skills with high attention to detail and accuracy
  • There’s Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills in your repertoire
  • You can 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 easy to you
  • Brokerage client support experience including systems and applications is second nature to you

Additional Details When Onboard:

  • 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

Job Posting Location:

  • 23 BELLWETHER WAY STE 200, BELLINGHAM , WA 98225  

 

@RWF22

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, or status as a protected veteran.

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.


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