Lead Brokerage Client Assistant - RCAST & Registered

About this role:

Wells Fargo is seeking a Lead Client Associate as part of the Remote Client Associate Support Team (RCAST) 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:

• Assist Financial Advisor(s) with sales, service and operational related activities such as providing service to clients via telephone, direct interaction and/or written correspondence
• Facilitate Financial Advisor and client requests for account related information and/or quotes, scheduling and preparing for appointments with new or prospective clients, establishing and servicing client accounts, preparing forms, researching account inquiries and/or issues
• Execute various administrative functions for the Financial Advisors(s) and Branch Management including, but not limited to, tracking referrals, coordinating, and executing marketing campaigns,
• Act as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review when applicable
• Utilize prior years of experience in the Registered Client Associate role, anticipate and proactively seek resolutions to client and business-related issues
• Demonstrate seasoned judgment by handling complex clients with a high degree of professionalism
• Viewed by peers as a subject matter expert and sought by others for advice or guidance
• Provide knowledge and systems support to branch personnel and training for entry-level Client Associates
• The position will be located in one of the central client associate utility locations and will assist financial advisors in other areas of the country on an as needed/assigned basis
• Working hours will be based on the work location and the geographical location of assigned financial advisors to ensure coverage during regular business hours in their respective locations
• Serve in the team lead capacity to delegate and monitor completion of tasks directed to the RCAST team support model
• Foster a positive team dynamic, encourage collaboration and motivate team members to achieve high quality and accuracy standards
• Identify and address issues with the model including but not limited to FA/CA issues, inaccuracies in completion of work, volumes and workload and work with site leadership team to resolve
• Serve as the first point of contact for issues escalation and resolution for FAs and field partners

Required Qualifications:

• 6+ 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: 550 S 4th St., Minneapolis, MN 55415

Minnesota – Minneapolis Pay Range: $36.06 - $54.81 Hourly

May be considered for a discretionary bonus, Restricted Share Rights, or other long-term incentive awards.

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.

$36.06 - $54.81

Posting End Date:

21 Dec 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.