Lead Brokerage Client Assistant - RCAST & Registered

About this role:

Wells Fargo is seeking a Lead Client Associate as part of the Remote Client Associate Support Team (RCAST) in Wealth and Investment Management as part of Wells Fargo Advisors.  Learn more about the career areas and business divisions 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, scheduling and preparing for appointments with new or prospective clients, establishing and servicing client accounts, preparing forms, researching account inquiries and/or issues
• Execute various administrative functions for the Financial Advisors(s) and Branch Management including, but not limited to, tracking referrals, coordinating, and executing marketing campaigns,
• Act as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review when applicable
• Utilize prior years of experience in the Registered Client Associate role, 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
• The position will be located in one of the central client associate utility locations and will assist financial advisors in other areas of the country on an as needed/assigned basis
• Working hours will be based on the work location and the geographical location of assigned financial advisors to ensure coverage during regular business hours in their respective locations
• Serve in the team lead capacity to delegate and monitor completion of tasks directed to the RCAST team support model
• Foster a positive team dynamic, encourage collaboration and motivate team members to achieve high quality and accuracy standards
• Identify and address issues with the model including but not limited to FA/CA issues, inaccuracies in completion of work, volumes and workload and work with site leadership team to resolve
• Serve as the first point of contact for issues escalation and resolution for FAs and field partners

Required Qualifications:

• 6+ 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

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. 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
• Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information will be shared about expectations during the recruitment process
• This position is subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a F