Boots to Banking - Associate Brokerage Support Consultant

Associate Brokerage Support Consultant

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:

• Military experience researching and assessing questions, process, and procedures to make recommendations on solutions.
• Military experience with tracking information in multiple computer systems with high level of accuracy.
• Military experience resolving complex issues via written or verbal communication, including but not limited to, supply action requests, updating personnel records, answering benefit or pay questions, resolving errors, researching questions and other needs as requested by customers.
• 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.

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.