Registered Client Associate

Wells Fargo
Houston, Texas, United States
Full Time
On Site
Junior
0+
Finance & Accounting Financial Services Insurance

Posted 1 month ago

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Excellent 4.7

Job summary

Assist financial advisors with sales, servicing, and administrative tasks in wealth management, ensuring regulatory compliance and customer support, requiring brokerage client support experience and FINRA licensing.

Responsibilities

The Registered Client Associate provides sales and administrative support to financial advisors while managing operational processes and account inquiries. They are responsible for maintaining regulatory files, producing reports, and ensuring compliance with internal and external policies.

Qualifications

Administrative Support Customer Service Financial Industry Support Microsoft Office Regulatory Compliance

Candidates must have at least one year of brokerage or client service experience and hold active FINRA Series 7 and 63 licenses. Proficiency in Microsoft Office and the ability to work in a fast-paced, regulated financial environment are required.

English

Company

Wells Fargo

Wells Fargo

linkedin
Financial Services
Location
Houston, Texas, United States

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Excellent 4.7
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