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Associate Brokerage Support Consultant

Associate Brokerage Support Consultant

Charlotte StaffingCharlotte, NC, US
9 hours ago
Job type
  • Full-time
Job description

Associate Brokerage Support Consultant In Wealth And Investment Management

Wells Fargo is seeking an Associate Brokerage Support Consultant in Wealth and Investment Management as part of Wells Fargo Advisors. In this role, you will support staff in transactional tasks and processes to ensure timely completion, quality, and compliance adherence. Participate in and provide support for moderately complex transactional tasks. Support the execution of processes for the Central Brokerage Support team, including the review and approval of operational transaction requests of moderate complexity that require subject matter expertise to ensure timely completion, quality, and compliance. Participate and collaborate with peers, colleagues, and mid-level managers in adherence, development and interpretation of policies, procedures, and compliance requirements. Identify and provide consultation on opportunities for process improvement and risk control development.

Required Qualifications :

  • 6+ months of Financial Services Industry experience, or equivalent demonstrated through one or a combination of the following : work experience, training, military experience, education

Desired Qualifications :

  • Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or 7 and 66 examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration
  • Brokerage client support experience
  • Administrative support experience in financial services
  • Strong attention to detail and accuracy
  • Effective organizational, multi-tasking, and prioritizing skills
  • Strong verbal, written, and interpersonal communication skills

    • Job Expectations :

  • 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 : 1525 W W T Harris Blvd., Charlotte, NC 28262

    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 commensurate with the business unit's risk appetite and all risk and compliance program requirements.

    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.

    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 :

  • Third-Party recordings are prohibited unless authorized by Wells Fargo.
  • Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.

    • Req Number : R-501251

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    Brokerage Associate • Charlotte, NC, US