Registered Client Associate
Phenom People, Albuquerque, NM, United States
Registered Client Associate In Wealth And Investment Management
Wells Fargo is seeking a Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. In this role you will:
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, scheduling and preparing for appointments with new or prospective clients
Establish and service client accounts, prepare forms, research account inquiries and/or issues
May also perform 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
When applicable, acts as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review
Required Qualifications:
2+ 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
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:
Client service focus with the ability to respond to requests in a timely manner
Strong analytical skills with high attention to detail and accuracy
Brokerage industry experience
Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
Experience interacting directly with customers
Ability to provide administrative support, including responding to prospect/customer inquiries and requests for information
Brokerage client support experience
Job Expectations:
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
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 CFR 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.
This position is not eligible for Visa sponsorship.
Posting location: 6501 Americas Pkwy NE Ste 1000 Albuquerque, NM 87110
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.
Wells Fargo is seeking a Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. In this role you will:
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, scheduling and preparing for appointments with new or prospective clients
Establish and service client accounts, prepare forms, research account inquiries and/or issues
May also perform 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
When applicable, acts as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review
Required Qualifications:
2+ 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
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:
Client service focus with the ability to respond to requests in a timely manner
Strong analytical skills with high attention to detail and accuracy
Brokerage industry experience
Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
Experience interacting directly with customers
Ability to provide administrative support, including responding to prospect/customer inquiries and requests for information
Brokerage client support experience
Job Expectations:
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
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 CFR 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.
This position is not eligible for Visa sponsorship.
Posting location: 6501 Americas Pkwy NE Ste 1000 Albuquerque, NM 87110
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.