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Client Associate - Wealth Brokerage Services

Company: Wells Fargo
Location: Salt Lake City
Posted on: August 6, 2022

Job Description:

About this role:Wells Fargo is seeking a Brokerage Client Assistant...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 various administrative tasks
  • Identify ways to improve Brokerage Client Support processes and offer Brokerage Client Support work group ideas
  • Perform moderately complex administrative and operational tasks within Brokerage Client Support functional area
  • Handle telephone calls or respond to inquiries and requests for researching of reports and account related issues
  • Establish and maintain files to meet the firms regulatory requirements
  • Create, produce, and maintain reports, databases, and record keeping for the purpose of growing client relationships
  • Receive direction from supervisor and Financial Advisory functional area and escalate non-routine questions
  • Interact with Financial Advisory functional area on wider range of inquiries or requests, as well as internal and external customersRequired Qualifications, US:
    • 2+ years of Brokerage and Client Services experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
    • Must be able to obtain FINRA SIE/S7 TO/ 63&65 or 66 licenses within 90-180 days of hire.Required Qualifications, International:
      • Experience in Brokerage and Client Services, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
      • Must be able to obtain FINRA SIE/S7 TO/ 63&65 or 66 licenses within 90-180 days of hire.Desired Qualifications:
        • 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
        • Knowledge and understanding of brokerage: systems or applications
        • Ability to work effectively in a team environment
        • Knowledge and understanding of administrative support: filing, faxing, copying, and data entryJob Expectations:
          • Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition to 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 requiredJob expectations: To obtain FINRA SIE/S7 TO/ 63&65 or 66 licenses within 90-180 days of hire.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 , Client Associate - Wealth Brokerage Services, Other , Salt Lake City, Utah

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