Senior Brokerage Client Assistant - Registered

About this role:

Wells Fargo is seeking a...

In this role, you will:

• Support performance of less experienced staff and assist in research of performance data for investment options
• Proactively provide feedback, and present ideas for improving or implementing administrative and operational processes and tools within Brokerage and Client Support functional area
• Perform complex administrative tasks including opening accounts and processing paperwork
• Work with internal departments and clients to solve service and operational issues
• Process processing client service requests
• Provide assistance to financial advisors by furnishing account information and quotes, establishing new accounts, and processing deliveries and payments
• Provide subject matter expertise and interpretation of procedures to less experienced staff
• Interact with immediate Brokerage Client Support team, functional area, and internal peers outside work group on wide range of information, as well as internal and external customers

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 63 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Required Qualifications for Europe, Middle East & Africa only:

• Experience in Brokerage and Client Services, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

Job Expectations:

• US only: 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 is required

Posting End Date: 

2 Apr 2025

*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 recrui