Registered Client Associate - Wealth Brokerage Services

Company: Wells Fargo
Location: Palo Alto
Posted on: April 9, 2021

Job Description:

Job DescriptionImportant Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as 'Personal Cell' or 'Cellular' in the contact information of your application. 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.--- Wealth & Investment Management, or WIM, is one of the United States' leading providers of financial and investment services. WIM provides a full range of personalized wealth management, investment, and retirement products and services to meet clients' unique needs and help them achieve financial goals. Our mission is to help clients pursue their financial goals with confidence. We accomplish this by:o Building enduring client relationships through sound, thoughtful, and objective adviceo Developing individualized plans for clients to help meet their financial objectiveso Helping clients build, manage, preserve, and transition their financial resources and wealthWIM serves clients through the following businesses:o Wells Fargo Private Bank serves high-net-worth individuals and families.o Abbot Downing serves ultra-high-net-worth individuals and families. o Wells Fargo Advisors provides investment advice and guidance to clients through more than 13,200 full-service financial advisors and referrals from more than 5,450 licensed bankers. o Wells Fargo Asset Management brings together a strategic balance of investment capabilities to serve the investment needs of institutions, financial advisors, and individuals worldwide.Through Wells Fargo Private Bank and Abbot Downing, WIM is also a leading provider of trust, investment, and fiduciary services, including personal trust services and a number of specialized wealth services designed to meet the diverse needs of high-net-worth clients.Assists Financial Advisor(s) with sales, service and operational related activities such as providing service to clients via telephone, direct interaction and/or written correspondence, handling FA and client requests for account related information and/or quotes, scheduling and preparing for appointments with new or prospective clients, establishing and servicing client accounts, preparing forms, researching account inquiries and/or issues, soliciting and entering orders from clients, providing investment advice to clients, and cold calling potential clients for brokerage accounts, under the direction of the Financial Advisor and as securities licensing and registrations permit. May also perform various administrative functions for the FA(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.Required Qualifications

• Successfully completed FINRA Series 7 and 63 or 7 and 66 exams to qualify for immediate registration (or FINRA recognized equivalents)Desired Qualifications
  • 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 prioritizing skills
  • Good verbal, written, and interpersonal communication skills
  • Brokerage client support experience
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure 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
  • Ability to work effectively in a team environment
  • Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
  • Knowledge and understanding of administrative support: filing, faxing, copying, and data entryJob Expectations
    • 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.
    • For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required Street AddressCA-Palo Alto: 301 University Avenue - Palo Alto, CADisclaimerAll 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.Benefits SummaryBenefits Visit for benefits information.

Keywords: Wells Fargo, Palo Alto , Registered Client Associate - Wealth Brokerage Services, Other , Palo Alto, California