About this role:
Wells Fargo is seeking a Senior Registered Client Associate 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:
Required Qualifications:
Desired Qualifications:
Job Expectations:
Posting location:
Wells Fargo is seeking a Senior Registered Client Associate 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, schedule and prepare for appointments with new or prospective clients, establish and service client accounts, prepare forms, research account inquiries and/or issues
- Execute various administrative functions for the Financial Advisor(s) and Branch Management including, but not limited to, tracking referrals, coordinating, and executing marketing campaigns, establishing and maintaining files to meet the firm's regulatory requirements, and establishing and maintaining filing and record keeping necessary to support efforts to service and grow client relationships
- Act as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review when applicable
- Utilize prior experience in the Registered Client Associate role to 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
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
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 FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.
- This position is not eligible for Visa sponsorship.
Posting location:
- 2141 Rosecrans Ave El Segundo, California 90245
Top Skills
Excel
Microsoft Office (Word
Outlook
Powerpoint)
Similar Jobs at Wells Fargo
Fintech • Financial Services
Support the Mortgage Retail Sales team by handling administrative tasks, building customer relationships, and ensuring compliance with the SAFE Mortgage Licensing Act.
Top Skills:
Loan Originator Requirements
Fintech • Financial Services
Originate and manage residential jumbo mortgages for affluent clients by building referral relationships, analyzing credit and financial data, ensuring compliance with SAFE/LO regulations, and delivering high-quality customer service throughout the loan process.
Top Skills:
MS Office
Fintech • Financial Services
Support Mortgage Retail Sales with administrative, marketing, and sales tasks; build and maintain customer relationships; perform transactional and customer support duties; comply with SAFE/NMLS and Loan Originator (Regulation Z) requirements, including background and credit screenings.
Top Skills:
Mu4RNmls
What you need to know about the Los Angeles Tech Scene
Los Angeles is a global leader in entertainment, so it’s no surprise that many of the biggest players in streaming, digital media and game development call the city home. But the city boasts plenty of non-entertainment innovation as well, with tech companies spanning verticals like AI, fintech, e-commerce and biotech. With major universities like Caltech, UCLA, USC and the nearby UC Irvine, the city has a steady supply of top-flight tech and engineering talent — not counting the graduates flocking to Los Angeles from across the world to enjoy its beaches, culture and year-round temperate climate.
Key Facts About Los Angeles Tech
- Number of Tech Workers: 375,800; 5.5% of overall workforce (2024 CompTIA survey)
- Major Tech Employers: Snap, Netflix, SpaceX, Disney, Google
- Key Industries: Artificial intelligence, adtech, media, software, game development
- Funding Landscape: $11.6 billion in venture capital funding in 2024 (Pitchbook)
- Notable Investors: Strong Ventures, Fifth Wall, Upfront Ventures, Mucker Capital, Kittyhawk Ventures
- Research Centers and Universities: California Institute of Technology, UCLA, University of Southern California, UC Irvine, Pepperdine, California Institute for Immunology and Immunotherapy, Center for Quantum Science and Engineering
