Registered Client Associate (D3D CSA WM) Warwick, Rhode Island
The Registered Client Associate assists financial consultants and financial advisors by providing sales and servicing support. Duties may include: opening accounts and processing paperwork; working with internal departments and/or directly with the client in solving service/operational issues, answering or providing information regarding procedural/sales questions, and processing client service requests (address changes, statement copies, etc.); processing the movement of funds and equities; scheduling appointments for new and existing clients; monitoring and tracking referrals and sales results; maintaining compliance files; issuing sales/marketing information to clients; preparing sales packages; ordering supplies; maintaining file system for prospective and existing clients; reviewing paperwork for completeness and forwarding to management for review. May act as a back-up in taking and executing unsolicited investment orders directly from clients and/or via toll-free number.
- Successfully completed FINRA Series 7 and 63 or 7 and 66 exams to qualify for immediate registration (or FINRA recognized equivalents)
- Client service focus with the ability to respond to requests in a timely manner
- Strong analytical skills with high attention to detail and accuracy
- Strong organizational, multi-tasking, and prioritizing skills
- Good verbal, written, and interpersonal communication skills
- Brokerage client support experience
- State Insurance License
- Ability to provide administrative support, including responding to prospect/customer inquiries and requests for information
- Ability to work effectively in a team environment
- Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
- Knowledge and understanding of brokerage: systems or applications
- Intermediate Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
- Knowledge and understanding of administrative support: filing, faxing, copying, and data entry
- Knowledge and understanding of brokerage or administrative support
- Designated insurance license requirements must be completed within a 90 or 180-day time period contingent upon number of license(s) needed if not immediately available to transfer upon hire. Compliance with state law requirements is required.
- 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 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