About the Role: Associate Bank Financial Advisor at Wells Fargo
Wells Fargo, a leading name in the banking and financial services industry, is actively seeking a qualified individual to fill the role of an Associate Bank Financial Advisor in its Wealth and Investment Management division. This position falls under the umbrella of Wells Fargo Advisors, a segment that provides a broad array of financial products and services. You can find more information regarding this and other roles within Wells Fargo at wellsfargojobs.com.
Key Responsibilities
As an Associate Bank Financial Advisor, the selected candidate will participate in Wells Fargo Advisors’ bespoke training program. This program is designed with a threefold focus: meeting personal, professional, and organizational client service and financial objectives within the Financial Advisory – Bank function. The program equips candidates with the necessary skills and knowledge to serve clients effectively and meet their financial goals.
Furthermore, the role involves reviewing and understanding clients’ basic or tactical goals, risk tolerance, and investment profile. This information is crucial in evaluating clients’ financial needs related to lower-risk tasks and deliverables with a narrower impact. The position requires regular customer contact and the candidate must be adept at assessing and referring customers interested in dwelling secured products to a SAFE team member. This role does not involve taking an application or offering or negotiating terms of a dwelling secured transaction.
Required Qualifications
Interested candidates must have a minimum of six months of customer service, sales, or relationship-building experience. This can be demonstrated through work experience, training, military experience, or education. Additionally, it is necessary to have successfully completed the Securities Industry Essentials (SIE) exam or an equivalent examination.
Desired Qualifications
While not mandatory, the following qualifications are highly desirable:
- FINRA registration including Series 7 and 66, or FINRA recognized equivalents
- Experience in the financial services sector
- Client services experience
- A minimum of 6 months in client or sales services
- Experience in developing and managing client relationships
- Sales or sales support experience
- A BS/BA degree or higher
Job Expectations and Regulatory Compliance
Wells Fargo places great emphasis on regulatory compliance. Therefore, individuals in Loan Originator (LO) positions must meet the Consumer Financial Protection Bureau qualification requirements and comply with related Wells Fargo policies. Furthermore, the role requires compliance with state law registration, licensing requirements, and the fulfillment of enhanced financial fitness and criminal background standards.
Specifically, for candidates in the US, obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) licenses is required for ongoing employment. This may involve completing FINRA Series 7 and 66 (or 63 and 65) examinations, or equivalent, within a specific time period following commencement of employment. Wells Fargo will initiate the FINRA licensing review process at the time of offer acceptance.
This position is subject to FINRA background screening requirements, and all successful candidates must meet and comply with ongoing regulatory obligations. This includes periodic screening and mandatory reporting of certain incidents. Additionally, this position is not eligible for Visa sponsorship.
Equal Opportunity and Accommodation
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.
In addition, Wells Fargo encourages applications from all qualified candidates in Canada, including women, persons with disabilities, aboriginal peoples, and visible minorities. Accommodation for applicants with disabilities is available upon request during the recruitment process.
Drug and Alcohol Policy
Wells Fargo maintains a drug-free workplace in line with its Drug and Alcohol Policy.
Recruitment and Hiring Requirements
During the recruiting and hiring process, Wells Fargo requires candidates to directly represent their own experiences. Third-party recordings are strictly prohibited unless authorized by Wells Fargo.
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