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Trading Enablement Specialist

2 months ago

Salt Lake, Utah, United States Wells Fargo Full time
About this Role:

We are seeking a skilled Trading Enablement Assistant to join our Investment Contact Center (ICC) team at Wells Fargo. As a key member of our team, you will play a critical role in assisting brokerage clients via telephone, facilitating trades, servicing accounts, and educating clients on various servicing matters.

Key Responsibilities:
  • 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 a 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
Requirements:
  • 2+ years of client service or trading experience, or equivalent demonstrated through one or a combination of work experience, training, military experience, or 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 registration
Preferred 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
Job 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.