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![Wells Fargo](https://media.trabajo.org/img/noimg.jpg)
Senior Registered Client Associate_
2 months ago
**About this role:** Wells Fargo is seeking a Senior Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about our career areas and lines of business at wellsfargojobs.com . **In this role, you will:** + Assist Financial Advisor(s) with sales, service, and operational related activities such as providing service to clients via telephone, direct interaction and/or written correspondence + Facilitate Financial Advisor and client requests for account related information and/or quotes, schedule and prepare for appointments with new or prospective clients, establish and service client accounts, prepare forms, research account inquiries and/or issues, + Execute various administrative functions for the Financial Advisor(s) and Branch Management including, but not limited to, tracking referrals, coordinating, and executing marketing campaigns, 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 and grow 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 and Client Services 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 66 (or 63 and 65) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration **Desired Qualifications:** + Brokerage client support experience + Administrative support experience in financial services + Experience interacting directly with customers + Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills + Client service focus with the ability to listen to customer needs and recommend solutions + Ability to prioritize work, meet deadlines, achieve goals, and work in a dynamic and complex environment **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 **Posting Location:** 900 Elm Street, Suite 700, Manchester, NH 03101 **Posting End Date:** 1 Aug 2024 ***Job posting may come down early due to volume of applicants.** **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, status as a protected veteran, or any other legally protected characteristic. 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. **Applicants with Disabilities** To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo . **Drug and Alcohol Policy** Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy to learn more. **Company:** WELLS FARGO BANK **Req Number:** R-374341 **Updated:** Sun Jul 07 03:53:57 UTC 2024 **Location:** MANCHESTER,New Hampshire