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Associate Brokerage Sales & Trading Liaison

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Location: St Louis, Missouri Job ID R-174070

At Wells Fargo, we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity and inclusion in a workplace where everyone feels valued and inspired. Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you. 

About this role:

Wells Fargo is seeking an Associate Brokerage Sales and Trading Liaison to join our Fixed Income Trading team. Learn more about the career areas and lines of business at wellsfargojobs.com.


In this role, you will:

  • Respond to Financial Advisors inquiries and train them on the tools and procedures for executing fixed income securities business

  • Review issues, policies, or procedures for which answers can be quickly obtained and are related to low to medium risk tasks and deliverables

  • Receive direction from supervisor while executing external trades

  • Exercise independent judgment while executing internal trades

  • Develop a clear understanding of functional area, policies, procedures, and compliance requirements

  • Collaborate and consult with managers, functional colleagues, and stakeholders, including internal and external customers


Required Qualifications:

  • 6+ months of Brokerage Sales and Trading Liaison experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education


Desired Qualifications:

  • Excellent verbal, written, and interpersonal communication skills

  • Series 7 & 63

  • Effective organizational, multi tasking, and prioritizing skills

  • Outstanding problem solving skills

  • Ability to work in a fast-paced deadline driven environment

  • Knowledge and understanding of Fixed Income products

  • Ability to learn and assimilate information from multiple people and sources

  • Knowledge and understanding of economic climate and related market developments


Job Expectations:

  • Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. FINRA SIE, Series 7 and 63 examinations, or equivalent must be completed within 180-day time period following commencement of employment, depending upon the number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance. 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 location:

  • 2801 Market St. F & L Bldg - St. Louis, MO

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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