About this role:
Wells Fargo is seeking a Senior Registered Client Associate - International in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the career areas and business divisions at wellsfargojobs.com.
In this role you will:
- Review formation documents and identification for offshore structures and Non-Resident Alien accounts
- Assist with service, and operational related activities such as providing service to clients via telephone, direct interaction and/or written correspondence
- Facilitate client requests for account related information and/or quotes, schedule and prepare for appointments with clients, establish and service client accounts, prepare forms, research account inquiries and/or issues,
- Execute various administrative functions for the Branch Management including, but not limited to, tracking calls, coordinating, and executing various team projects, 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 client relationships
- Act as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review when applicable
- Utilize prior experience in the Registered Client Associate role to anticipate and proactively seek resolutions to client and business-related issues
- Demonstrate seasoned judgment by handling complex clients with a high degree of professionalism
- Viewed by peers as a subject matter expert and sought by others for advice or guidance
- Provide knowledge and systems support to branch personnel and training for entry-level Client Associates
Required Qualifications:
- 4+ years of Brokerage Client Support experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- US Only: Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
- Bilingual speaking, reading, and writing proficiency in Spanish/English
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 prioritization skills
- Previous Brokerage client support experience
- Ability to prioritize work, meet deadlines, achieve goals, and work in a dynamic and complex environment
- Ability to provide administrative support, including responding to prospect/customer inquiries and requests for information
- Knowledge and understanding of brokerage: systems or applications
- Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
Job expectations:
- US Only: Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. 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. Compliance with state law registration and licensing requirements is mandatory.
- Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process
- This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
- This position is not eligible for Visa sponsorship.
Posting location:
- 333 SE 2nd Avenue - Miami, Florida 33131
