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Registered Client Associate- Private Client Group

Company: Wells Fargo
Location: Madison
Posted on: February 16, 2020

Job Description:

Job Description
Important Note: During the application process, ensure your contact information (email and phone number) is up to date and upload your current resume when submitting your application for consideration. To participate in some selection activities you will need to respond to an invitation. The invitation can be sent by both email and text message. In order to receive text message invitations, your profile must include a mobile phone number designated as "Personal Cell" or "Cellular" in the contact information of your application.
At Wells Fargo, we want to satisfy our customers' financial needs and help them succeed financially. We're looking for talented people who will put our customers at the center of everything we do. Join our diverse and inclusive team where you'll feel valued and inspired to contribute your unique skills and experience.
Help us build a better Wells Fargo. It all begins with outstanding talent. It all begins with you.
Wealth and Investment Management (WIM) businesses build enduring client relationships through sound, thoughtful and objective advice. We help our clients by developing individualized plans for everything from retirement goals to business succession planning, to family legacy intentions. Services include comprehensive planning and advice, investment management, brokerage, private banking, estate planning strategies, trust, and both individual and institutional retirement.
Provides sales practice as well as overall administrative and operational client service support to assist the business activities of the Financial Advisor(s). Interfaces directly with clients and may solicit orders from clients, provide investment advice to clients, and cold call potential clients for brokerage accounts, under the direction of the Financial Advisor and as securities licensing and registrations permit. Provides assistance to the Financial Advisor by furnishing account information and quotes, establishing new accounts, and processing deliveries and/or payments. Performs various administrative functions for the Financial Advisor(s) and/or Branch Manager including, but not limited to, preparing forms and reports from rough drafts, as well as preparing and/or originating correspondence for the Financial Advisor, which may include marketing campaigns. Handles telephone calls and other inquiries, for research reports as well as resolving account problems. Establishes and maintains files to meet regulatory requirements, creates and produces reports and databases while establishing and maintaining files and record keeping necessary to support sales efforts. Provides knowledge and systems support to branch personnel and training for entry-level assistants.

Required Qualifications

  • Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for immediate registration (or FINRA recognized equivalents)

    Desired Qualifications
    • Strong client service skills
    • Strong attention to detail and accuracy skills
    • Effective organizational, multi tasking, and prioritizing skills
    • Good verbal, written, and interpersonal communication skills

      Job Expectations
      • Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition 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 required

        Street Address
        WI-Madison: 1 Erdman Place - Madison, WI


        All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.

        Relevant military experience is considered for veterans and transitioning service men and women.

        Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.

Keywords: Wells Fargo, Madison , Registered Client Associate- Private Client Group, Other , Madison, Wisconsin

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