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Senior Registered Client Associate

Wells Fargo

EL SEGUNDO, CA

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JOB DETAILS
SALARY
$34.62–$52.40 Per Hour
SKILLS
Administrative Skills, Brokerage, Candidate Screening, Credit Risk, Customer Relations, Customer Support/Service, Establish Priorities, File Maintenance, Finance, Financial Administration, Financial Operations, Financial Planning, Financial Regulations, Financial Services, Investment Management, Licensing, Maintain Compliance, Marketing Campaign, Microsoft Excel, Microsoft Office, Microsoft Outlook, Microsoft PowerPoint, Microsoft Word, Military, Problem Solving Skills, Record Keeping, Regulations, Regulatory Compliance, Regulatory Requirements, Reimbursement, Request for Information (RFI), Risk, Risk Analysis, Sales, Sales Prospecting, Scholarship, Securities, Series 7, Staff Training, State Laws and Regulations, Systems Administration/Management, Time Management, Tuition Reimbursement, Wealth Management
LOCATION
EL SEGUNDO, CA
POSTED
1 day ago
About this role:


Wells Fargo is seeking a Senior Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the career areas and business divisions at wellsfargojobs.com (https://www.wellsfargojobs.com/career-areas/) .


In this role you will:


+ Assist 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 Financial Advisor and client requests for account related information and/or quotes, schedule and prepare 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 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

+ Act as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review when applicable

+ Utilize prior experience in the Registered Client Associate role to anticipate and proactively seek resolutions to client and business-related issues

+ Demonstrate seasoned judgment by handling complex clients with a high degree of professionalism

+ Viewed by peers as a subject matter expert and sought by others for advice or guidance

+ Provide knowledge and systems support to branch personnel and training for entry-level Client Associates


Required Qualifications:


+ 2+ years of Brokerage and Client Services support 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 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


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. 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 is required

+ Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information to the Wells Fargo 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 subject to FINRA background screening requirements. Candidates must successfully complete and pass a background check prior to hire. In accordance with FINRA rules, individuals who are subject to statutory disqualification are not eligible to be associated with a FINRA-registered broker-dealer. Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents.

+ This position is not eligible for Visa sponsorship.


Posting Location:


+ 2141 Rosecrans Ave El Segundo, California 90245


Pay Range


Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to demonstrated examples of prior performance, skills, experience, or work location. Employees may also be eligible for incentive opportunities.


$34.62 - $52.40


Benefits


Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs (https://www.wellsfargojobs.com/en/life-at-wells-fargo/benefits) for an overview of the following benefit plans and programs offered to employees.


+ Health benefits

+ 401(k) Plan

+ Paid time off

+ Disability benefits

+ Life insurance, critical illness insurance, and accident insurance

+ Parental leave

+ Critical caregiving leave

+ Discounts and savings

+ Commuter benefits

+ Tuition reimbursement

+ Scholarships for dependent children

+ Adoption reimbursement


Posting End Date:


15 Jul 2026

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


We Value Equal Opportunity


Wells Fargo is an equal opportunity employer. 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.


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.


Applicants with Disabilities


To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo (https://www.wellsfargojobs.com/en/diversity/disability-inclusion/) .


Drug and Alcohol Policy


Wells Fargo maintains a drug free workplace. Please see our Drug and Alcohol Policy (https://www.wellsfargojobs.com/en/wells-fargo-drug-and-alcohol-policy) to learn more.


Wells Fargo Recruitment and Hiring Requirements:


a. Third-Party recordings are prohibited unless authorized by Wells Fargo.


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


Req Number: R-555270

About the Company

W

Wells Fargo

We believe in our vision and values just as strongly today as we did the first time we put them on paper more than 20 years ago. Staying true to them will guide us toward continued growth and success for decades to come. As you read more about our vision and values, you will learn about who we are, where we’re headed and how every Wells Fargo team member can help us get there.

COMPANY SIZE
10,000 employees or more
INDUSTRY
Financial Services
FOUNDED
1852