Full-Time

Senior Registered Client Associate

Posted on 2/12/2025

Wells Fargo

Wells Fargo

10,001+ employees

Provides banking, mortgage, and investment services

No salary listed

Mid, Senior

No H1B Sponsorship

Canfield, OH, USA

Category
Financial Planning and Analysis (FP&A)
Finance & Banking
Requirements
  • 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
  • Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 66 (or 63 and 65) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
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
Desired Qualifications
  • Brokerage client support experience
  • Administrative support experience in financial services
  • Experience interacting directly with customers
  • Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
  • Client service focus with the ability to listen to customer needs and recommend solutions
  • Ability to prioritize work, meet deadlines, achieve goals, and work in a dynamic and complex environment

Wells Fargo provides a variety of financial services, including banking, mortgages, investments, credit cards, and personal and commercial financial solutions. The company serves individual consumers, small businesses, and large corporations, offering customized services to meet different financial needs. Its products work through a network of branches and ATMs, as well as online and mobile banking platforms, allowing customers to access their accounts and manage their finances conveniently and securely. What sets Wells Fargo apart from its competitors is its extensive range of specialized services, such as financial planning, retirement solutions, and wealth management, which cater to a diverse clientele with varying financial goals. The company's goal is to enhance customer success by continually improving its offerings and ensuring a secure and efficient banking experience.

Company Size

10,001+

Company Stage

IPO

Headquarters

San Francisco, California

Founded

1851

Simplify Jobs

Simplify's Take

What believers are saying

  • Increased focus on digital banking enhances customer experience and retention.
  • Fintech partnerships enable innovative and flexible financial products.
  • Sustainable finance initiatives attract environmentally conscious consumers and businesses.

What critics are saying

  • Increased competition in credit facilities may impact Wells Fargo's market share.
  • Pressure to offer competitive terms could affect profitability.
  • Exposure to credit risk from large facilities could lead to financial instability.

What makes Wells Fargo unique

  • Wells Fargo offers a wide range of tailored financial solutions.
  • The company leverages a robust online and mobile banking platform.
  • Wells Fargo provides specialized services like financial planning and wealth management.

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Benefits

Health Insurance

401(k) Retirement Plan

Paid Vacation

Paid Sick Leave

Parental Leave

Disability Insurance

Life Insurance

Tuition Reimbursement

Commuter Benefits

Adoption Assistance

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