Brokerage Client Assistant - Advisor Support & Registered

About this role:

Wells Fargo is seeking a Brokerage Client Assistant - Advisor Support & Registered as part of the Advisor Support Team (AST) in Wealth and Investment Management as part of Wells Fargo Advisors.  Learn more about the career areas and business divisions at wellsfargojobs.com.

In this role you will:

• Support Financial Advisory team and their clients by providing account information or quotes, entering Financial Advisory approved security tickets, and completing various administrative tasks
• Identify ways to improve the Advisor Support Team (AST) Brokerage Client Support processes and offer AST Brokerage Client Support work group ideas
• Perform moderately complex administrative tasks, handle telephone calls and other inquiries for research reports, as well as resolve account issues
• Establish and maintain files to meet regulatory requirements
• Create and produce reports as well as databases while establishing and maintaining files and records to support sales efforts
• Receive direction from supervisors and escalate non-routine questions to more experienced roles
• Interact with immediate AST Brokerage Client Support team and functional area on wide range of information, as well as internal and external customers

Required Qualifications:

• 1+ year of Brokerage and Client Services support experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• US only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

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

Job expectations:

• US Only: 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
• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process
• This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
• This position is not eligible for Visa sponsorship

Posting Location: 2801 Market St, St. Louis, Missouri

Posting End Date:

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

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 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.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.