1,730 Results for

Client Associate Jobs in Santa Monica, CA

9465 WILSHIRE BOULEVARD:BEVERLY HILLS

City:.

United States of America

Work hours/week:.

Wells Fargo & Co logo

Los Angeles, CA17 days ago
  • $34.62–$52.40 Per Hour

li>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. 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.

Pasadena, CA30+ days ago
  • $30–$32 Per Hour

p>Primary Qualifications:

  • Successful completion of the (SIE) Securities Industry Essentials and FINRA General Securities Representative (Series 7) Exam and Uniform Securities State Law Exam (Series 66 [or Series 63/65]) or the ability to obtain licensing is required. This team-critical role requires outstanding attention to detail, the ability to balance multiple requests, outstanding client service skills, and a high level of integrity and confidentiality with respect to client, FA, branch and company information.

Wells Fargo & Co logo

Los Angeles, CA30+ days ago
  • $30.77–$45.67 Per Hour

li>May also perform 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. 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.

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