About this role:

　　Wells Fargo is seeking a Profit Formula Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about our career areas and lines of business at wellsfargojobs.com .

　　In this role, you will:

　　Assist Profit Formula (PF)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 PF Financial Advisor and client requests for account related information and/or quotes, scheduling and preparing 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 PF 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

　　When applicable, act as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review

　　Required Qualifications:

　　2+ years of Brokerage and Client Services experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

　　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

　　Series 66

　　Job Expectations:

　　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 may also be required

　　This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply 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.

　　This position is not eligible for Visa sponsorship.

　　Posting location: 3801 Kennett Pike, B-200, Wilmington, DE

　　Posting End Date:

　　29 Jan 2024

　　*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 recruitment process.

　　Applicants with Disabilities

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

　　Drug and Alcohol Policy

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

　　Company: WELLS FARGO BANK

　　Req Number: R-335240

　　Updated: Sun Jan 21 00:00:00 UTC 2024

　　Location: WILMINGTON,Delaware