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Sr. Registered Client Associate - Wealth Brokerage Services

Company: Wells Fargo
Location: White Plains
Posted on: October 10, 2019

Job Description:

About the Job Job Description Important Note: If you are selected to move forward in the process, next steps for this job may include an on-line assessment and a video screen. Please make sure your profile includes a current email address that you check regularly (including your spam folder) as the invitations for these activities will be emailed to you. For internal candidates, you must apply via the Jobs site on Teamworks or Teamworks at Home and please ensure your profile lists a personal (external) email address as your primary email address so you can receive communications and complete these potential activities. Please refer to the Team Member Handbook for more information on the Internal Job Opportunities ********** Wells Fargo, we want to satisfy our customers' financial needs and help them succeed financially. We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll feel valued and inspired to contribute your unique skills and experience.Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.Wealth and Investment Management (WIM) businesses build enduring client relationships through sound, thoughtful and objective advice. We help our clients by developing individualized plans for everything from retirement goals to business succession planning, to family legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, and both individual and institutional retirement. Assists financial consultants and financial advisors by providing sales and servicing support. Utilizes past experience as a registered brokerage associate to anticipate and proactively seek resolutions to client problems. Demonstrates seasoned judgment by handling difficult clients with a high degree of professionalism.Duties may include: - Opening accounts and processing paperwork - Working with internal departments and/or directly with the client in solving service/operational issues - Answering or providing information regarding procedural/sales questions, and processing client service requests (address changes, statement copies, etc.) - Processing the movement of funds and equities - Scheduling appointments for new and existing clients - Monitoring and tracking referrals and sales results - Consistent level of competence in following firm compliance procedures and file maintenance Issuing sales/marketing information to clients - Preparing sales packages - Ordering supplies - Maintaining file system for prospective and existing clients - Reviewing paperwork for completeness and forwarding to management for review - At the direction of financial consultant or financial advisor, may assist in analysis of performance data for investment options - Viewed by peers as a subject matter expert, and sought by others for advice or guidance - Provides operational training for new hires, both support staff, financial consultants, and financial advisors, and assists in their assimilation into the organization - May provide work direction for junior support staff - May act as a backup in taking and executing unsolicited investment orders directly from clients and/or via toll-free number Required Qualifications - Successfully completed FINRA Series 7, 63 and 65 or 7 and 66 exams to qualify for immediate registration (or FINRA recognized equivalents) - 5 years of brokerage sales support experience 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 - Insurance licenses for designated insurance lines, considering state law restrictions Job Expectations - Designated insurance license requirements must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. Compliance with state law requirements is required. - 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 Address NY-White Plains: 50 Main St - White Plains, NY Disclaimer All 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.

Keywords: Wells Fargo, Freeport , Sr. Registered Client Associate - Wealth Brokerage Services, Other , White Plains, New York

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