Senior Registered Client Associate

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 () .

In this role, you will :

Support performance of less experienced staff and assist in research of performance data for investment options

Proactively provide feedback, and present ideas for improving or implementing administrative and operational processes and tools within Brokerage and Client Support functional area

Perform complex administrative tasks including opening accounts and processing paperwork

Work with internal departments and clients to solve service and operational issues

Process processing client service requests

Provide assistance to financial advisors by furnishing account information and quotes, establishing new accounts, and processing deliveries and payments

Provide subject matter expertise and interpretation of procedures to less experienced staff

Interact with immediate Brokerage Client Support team, functional area, and internal peers outside work group on wide range of information, as well as internal and external customers

Required Qualifications :

4+ years of Brokerage and Client Services 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 : 280 Park Avenue, 27th Floor, New York, NY 10017

Pay Range

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.

$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 () 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 : 10 Nov 2025

• 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 () .

Drug and Alcohol Policy

Wells Fargo maintains a drug free workplace. Please see our 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-502532