Customer Service Associate Licensed

About this role:

Wells Fargo is seeking a Customer Service Associate Licensed to work for its Investment Contact Center (ICC). In this role, you will assist brokerage clients via telephone. You will facilitate trades, service accounts, and educate clients on various servicing matters, including navigation of the wfa.com public and secure website. Successful employees act as front-line problem solvers, speak to trading strategies, have a strong understanding of investment market terminology, and possess a solid understanding of fundamental and technical facts affecting the market. 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. 

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: 

• Ability to navigate multiple computer system windows, applications, and search tools 

• Intermediate Microsoft Office skills 

• Good attention to detail and accuracy skills 

• Excellent verbal, written, and interpersonal communication skills 

• Ability to use empathy to understand client concerns, questions, and problems pertaining to financial transactions 

• Trading experience 

• Brokerage industry experience 

• Contact center experience 

• Ability to process complex transactions and perform extensive research to resolve complex customer issues 

• Ability to discuss digital enhancements to provide a better 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