Customer Service Associate Licensed

About this role:

Wells Fargo is seeking a Customer Service Associate Licensed in our Investment Contact Center (ICC). Wealth Investment Management (WIM) Contact Center provides service and support for clients of WIM's lines of business, the Client Relationship Group, and Private Wealth.

At Wells Fargo, a Customer Service Associate-Licensed provides advanced service and support to brokerage clients by telephone. You will facilitate trades, service accounts, resolve client inquiries, and educate clients on brokerage services and digital resources, including navigation of the WFA.com public and secure website. As a front-line resource for clients, you will provide solutions to complex servicing needs, discuss trading strategies, and leverage your knowledge of investment terminology and fundamental and technical market factors to support a positive client experience. This position requires securities licensing, specifically Financial Industry Regulatory Authority (FINRA) Series 7 and 63 or 7 and 66 (or FINRA-recognized equivalents) to qualify for immediate FINRA registration.

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In this role, you will:

• Participate in supporting internal and external customers by providing moderately complex to complex support services in account management, operations, documentation, funding, customer service and technical support within Customer Service

• Review less complex products and services to customers

• Ensure proper booking and maintenance of accounts, tracking and monitoring pipelines on an ongoing basis for compliance, documentation, funding, and maintenance of accounts

• Receive direction from supervisor and exercise independent judgment while developing understanding of policies, procedures, and compliance requirements

• Collaborate and consult with managers, functional colleagues and stakeholders

• Provide assistance to frontline staff

Required Qualifications:

• 6+ months of Customer Service - Licensed experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
• Successfully completed Financial Industry Regulatory Authority (FINRA) Series 7 and 63(or 66) examinations (or FINRA recognized equivalents) sufficient to qualify for immediate FINRA registration

Desired Qualifications:

• Experience delivering customer support in a contact center in the financial services industry

• Experience with trading and the brokerage industry, including knowledge of brokerage products, services, and transactions

• Attention to detail and demonstrated ability to navigate multiple systems, applications, and search tools simultaneously while maintaining accuracy and adherence to policies, procedures, and regulatory requirements

• Proven ability to research issues, evaluate solutions, and independently resolve complex customer concerns and transactions in a timely manner providing a positive experience

• Demonstrated proficiency with Microsoft Office applications, including Word, Excel, Outlook, and PowerPoint, to support day-to-day business activities

• Excellent verbal, written, and interpersonal communication skills with the ability to communicate clearly, professionally, and effectively with clients and internal partners

• Demonstrated ability to use empathy and active listening to understand client concerns, questions, and needs related to financial transactions and provide appropriate support and solutions

• Ability to educate clients on digital tools and enhancements that improve accessibility, efficiency, and the overall client experience

Job Expectations:

• Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. FINRA Series 7 and 63 examinations, or equivalent must be completed within either a 90 or 180-day time period following commencement of employment, depending upon the number of license(s) needed if not immediately available to transfer upon hire. FINRA recognized equivalents will be accepted. This will be communicated at time of offer acceptance. 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

• This role is not eligible for Visa sponsorship

Posting Location:

• 550 S 4th St. Floor 13, Minneapolis, MN 55415

@RWF22

Pay Range

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:

*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.

c. Please be prepared to provide accurate information and supporting documentation in connection with any lawful employment and education verification conducted by Wells Fargo.