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Financial Securities Representative

Company: Wells Fargo
Location: Midvale
Posted on: September 24, 2022

Job Description:

About this role:

Wells Fargo is seeking a Trading Enablement Assistant to work for its Investment Contact Center (ICC). In this role, you will assist brokerage clients via telephone. You will facilitate trades, service accounts, and educate clients on various servicing matters, including navigation of the wfa.com public and secure website. Successful employees act as front-line problem solvers, speak to trading strategies, have a strong understanding of investment market terminology, and possess a solid understanding of fundamental and technical facts affecting the market. This position requires securities licensing, specifically Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or 7 and 66 (or FINRA-recognized equivalents) to qualify for immediate FINRA registration.

In this role, you will:

  • Work within a contact center environment to execute and confirm routine securities transactions initiated by customers
  • Provide quality customer service addressing issues, trading strategies, market terminology and account status
  • Identify and recommend opportunities for process improvement and risk control development
  • Serve as subject matter expert for the securities market
  • Understand fundamental and technical information affecting the market
  • Make decisions and resolve issues to meet business objectives
  • Interpret policies, procedures, and compliance requirements
  • Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
  • Interact with internal customers
  • Exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirementsRequired Qualifications, US:
    • 2+ years of Trading Enablement 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 63 or 7 and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registrationDesired Qualifications:
      • Ability to navigate multiple computer system windows, applications, and search tools
      • Intermediate Microsoft Office skills
      • Good attention to detail and accuracy skills
      • Excellent verbal, written, and interpersonal communication skills
      • Ability to use empathy to understand client concerns, questions, and problems pertaining to financial transactions
      • A BS/BA degree or higher
      • 1+ year of trading experience
      • Brokerage industry experience
      • Contact center experience
      • Ability to process complex transactions and perform extensive research to resolve complex customer issues
      • Ability to discuss digital enhancements to provide a better client experienceJob Expectations:
        • Obtaining and/or maintaining 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@RWF22

          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.

          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 US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

          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.

Keywords: Wells Fargo, Salt Lake City , Financial Securities Representative, Accounting, Auditing , Midvale, Utah

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