Associate Financial Relationship Advisor
On-siteSt. Louis, Missouri, United States
Job Summary
Support prospective and existing clients with financial advice and counsel aligned to their goals, risk tolerance, and investment needs within a digital, corporate-office environment. Partner with internal teams to facilitate digital investment relationships, portfolio reviews, and product alignment while building long-term connections through proactive outreach and personalized guidance. Identify opportunities for process improvement and risk control development, exercising independent judgment to resolve issues and achieve goals while adhering to compliance and regulatory obligations. Collaborate with peers and managers to deliver professional, client-focused experiences and maintain appropriate FINRA licensing requirements.
Required Qualifications
- 6+ months of Client Management experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- Successfully completed Securities Industry Essentials (SIE) exam
- US only: Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s)
- FINRA Series 7 and 66 (or 63 and 65) examinations, or equivalent must be completed within either a 90 or 180-day time period following commencement of employment
- Compliance with state law registration and licensing requirements
- Meeting enhanced financial fitness and criminal background standards
- Successfully complete and pass a background check prior to hire
- Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents
- 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
- Candidates must successfully complete and pass a background check prior to hire
- Successful candidates must also meet and comply with ongoing regulatory obligations, which include periodic screening and mandatory reporting of certain incidents
- 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
- This position is not eligible for Visa sponsorship
- Drug and Alcohol Policy: Wells Fargo maintains a drug free workplace
Desired Qualifications
- Knowledge and understanding of banking or financial services industry
- Financial services experience
- 6 + months of client or sales services experience
- Experience developing and managing client relationships
- Sales or sales support experience
- Client service focus with experience listening, eliciting information efficiently, comprehending, and resolving complex customer issues
- Ability to make timely and independent judgment decisions while working in a fast-paced, results-driven environment
- Solid organizational, multi-tasking, and prioritizing skills
- Good verbal, written, and interpersonal communication skills
- Basic Microsoft Office (Word, Excel, and Outlook) skills
- Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for immediate registration (or FINRA recognized equivalents)
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