Trading Enablement Specialist

2 weeks ago

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

Wells Fargo is seeking a skilled professional to join its Investment Contact Center (ICC) team as a Trading Enablement Assistant. In this role, you will play a critical part in assisting brokerage clients via telephone, facilitating trades, servicing accounts, and educating clients on various servicing matters.

You will work within a contact center environment to execute and confirm routine securities transactions initiated by customers, providing quality customer service addressing issues, trading strategies, market terminology, and account status. Additionally, you will identify and recommend opportunities for process improvement and risk control development, serving as a subject matter expert for the securities market.

This position requires securities licensing, specifically Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or 7 and 66 (or FINRA-recognized equivalents) to qualify for immediate FINRA registration.

Key Responsibilities:
  • Work within a contact center environment to 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 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
  • Interact with internal customers
  • Exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
Required Qualifications:
  • 2+ years of client service or trading experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, 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
Desired 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
  • 1+ year of trading experience
  • Brokerage industry experience
  • Contact center experience
  • Ability to process complex transactions and perform extensive research to resolve complex customer issues
  • Ability to discuss digital enhancements to provide a better client experience
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. For specific FINRA qualification exams obtained after 9/30/2018, the Securities Industry Essentials (SIE) exam co-requisite may also be required

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.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

Company:

WELLS FARGO BANK

Req Number:

R-398431

Updated:

Wed Sep 18 04:21:37 UTC 2024

Location:

SALT LAKE CITY,Utah

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