Wbs Sr Registered Client Assoc
Assists financial consultants and financial advisors by providing sales and servicing support. Utilizes past experience as a registered brokerage associate to anticipate and proactively seek resolutions to client problems. Demonstrates seasoned judgment by handling difficult clients with a high degree of professionalism. 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; consistent level of competence in following firm compliance procedures and file maintenance; 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. At the direction of financial consultant or financial advisor, may assist in performing analysis and the selection of new investments. Viewed by peers as a subject matter expert, and sought by others for advice or guidance. Provides operational training for new hires, both support staff, financial consultants, and financial advisors, and assists in their assimilation into the organization. May provide work direction for junior support staff. May act as a back-up in taking and executing investment orders directly from clients and/or via toll-free number.
5+ years investment support experience; Series 7.
Series 66 or (S63 and S65), and insurance licenses or ability to obtain within 120 days.
Extremely organized and able to work in a high volume, fast-paced environment.
Wells Fargo - 2 years ago
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Wells Fargo & Company is a financial holding company and a bank holding company. It is a diversified financial services company. It...