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Senior Registered Client Associate - Wealth Brokerage Services

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, 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 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

Who You Are:

You have 4+ 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. In your career, teams have relied on you for time and again for the impact needed for our clients. Your work is paramount to the success of our organization and our clients. You’ve also successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for immediate registration (or FINRA recognized equivalents). 

Additional Helpful Experience You Possess:

* 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

* Previous Brokerage client support experience

* Ability to 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

* Knowledge and understanding of brokerage: systems or applications

* Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills

Some Additional Details of the Role:

* You will be obtaining and/or maintaining appropriate FINRA license(s) as required for ongoing employment in this role

* 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

* Compliance with state law registration and licensing requirements is mandatory

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 CRF 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.

Posting Location : 5613 DTC Pkwy, Unit 1000 |  Greenwood Village, CO 80111 


Pay Range

$23.13 - $41.11 Hourly

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.

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