Wbs Regl Support Specialist 1
Wells Fargo - Ansonia, CT

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Provides marketing and service support to Financial Advisors (FAs) in addition to providing supervisory review for the store and other support staff. Utilizes experience as a Reg Client Assoc to anticipate and proactively seek resolutions to client operational/service inquires. Exercises seasoned judgment by handling complex clients and their requests with a high degree of professionalism. Duties may include: opening accounts and processing paperwork; working with internal departments and/or directly with the clients in solving service/operational issues; providing info regarding procedural, product, or marketing questions; processing the movement of funds and securities; scheduling appointments for new and existing clients; monitoring and tracking referrals and results.

Competence in following firm compliance procedures and file maintenance; issuing product marketing info to clients; preparing marketing packages; ordering supplies; maintaining file system for prospective and existing clients; reviewing paperwork for completeness and forwarding to mgmt for review. At the direction of FA, may assist in performing analysis for the selection of new investments. Viewed as an experienced resource and sought by others for advice or guidance. Provides operational training for new hires for support staff and FAs, and assists in their transition into the org.

May be back-up in taking/executing investment orders directly from clients. At the direction of the Brokerage Admin Mgr or Regl Suppt Center Mgr will handle selected supervisory duties requiring a Principal license, including one or more of the following: Principal supervisory review and approval of: correspondence, report review, store inspections, coordinating marketing and seminar approvals, conducting mock audits, targeted follow-ups for compliance with systems, product disclosure and other policies. May not perform direct supervisory tasks on behalf of any FAs from whom the position receives comp override. Jobs which support brokerage activities may require specific FINRA securities registrations.

Required registration(s) vary based on specific job responsibilities. If required, the FINRA Series 99 registration must be obtained through a qualifying registration or successful completion of qualifying exam within 120 days of hire.

Wells Fargo - 22 months ago - save job
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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...