Registered Client Associate - Private Client Group
Company: Wells Fargo
Location: Eugene
Posted on: August 6, 2022
Job Description:
About this role:Wells Fargo is seeking a Brokerage Client
Assistant - Registered...In this role, you will:
- Assist financial advisors and financial consultants by
providing sales and servicing support
- Proactively seek ways to improve administrative and operational
processes, and offer ideas for own work group
- 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 record to support sales
efforts
- Receive direction from supervisors and escalate non-routine
questions to more experienced roles
- Interact with immediate Brokerage Client Support team and
functional area on wide range of information, 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,
educationRequired Qualifications, International:
- Experience in Brokerage and Client Services, or equivalent
demonstrated through one or a combination of the following: work
experience, training, military experience, educationDesired
Qualifications:
- Brokerage industry experience
- Financial services industry experience
- 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
- Ability to work effectively, as well as independently, in a
team environment
- Intermediate Microsoft Office (Word, Excel, Outlook, and
PowerPoint) skills
- Knowledge and understanding of brokerage or administrative
supportJob 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 requiredWe 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, Eugene , Registered Client Associate - Private Client Group, Other , Eugene, Oregon
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