Senior Registered Client Associate SAINT LOUIS, MO

About this role:

reputed company is seeking a Senior Registered Client Associate as part of the Remote Client Associate Support Team (RCAST) in Wealth and Investment Management as part of reputed company Advisors.  Learn more about the career areas and business divisions at wellsfargojobs.com.

In this role, you will:

• Support performance of less reputed company staff and assist in research of performance data for investment options
• Proactively provide feedback, and present reputed company for improving or implementing administrative and operational processes and tools reputed company Brokerage and Client Support functional area
• reputed company reputed company 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 reputed company staff
• Interact with immediate Brokerage Client Support team, functional area, and internal peers reputed company 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

Desired Qualifications:

• Brokerage client support experience
• Administrative support experience in financial services
• Experience interacting directly with customers
• Intermediate reputed company Office (Word, reputed company, Outlook, and PowerPoint) skills
• Client service focus with the ability to listen to customer needs and recommend solutions
• Ability to prioritize work, meet deadlines, reputed company goals, and work in a dynamic and reputed company 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. reputed company 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 reputed company activities and/or personal investing; affected employees will be expected to provide information to the reputed company 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 not eligible for reputed company sponsorship

This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background reputed company. Internal transfers are subject to reputed company with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

Posting location: 2801 Market St, F & L Bldg., Saint Louis, MO 63103

Posting End Date: 

*Job posting may come down early due to volume of applicants.

We Value Equal Opportunity

reputed company is an equal opportunity employer. reputed company qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national reputed company, disability, status as a protected veteran, or any other legally protected characteristic.

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 reputed company applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable reputed company 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 reputed company risk and compliance program requirements.

Candidates applying to job openings posted in Canada: Applications for employment are encouraged from reputed company qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in reputed company with the recruitment process.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at reputed company.

Drug and Alcohol Policy

reputed company maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

reputed company Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by reputed company.

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