Associate Private Client Financial Advisor

About This Role

Join Wells Fargo's Wealth & Investment Management team as an Associate Private Client Financial Advisor. In this role, you will build client relationships, provide guidance on financial solutions, and develop expertise within a wealth management organization. Through training, mentorship, and collaboration, you will gain skills and confidence to grow your advisory career while delivering an exceptional client experience.

In This Role, You Will

• Participate in a structured Wells Fargo Advisors training program designed to help meet personal, professional, and client service goals within the Financial Advisory – Private Client function.
• Partner with clients to understand their financial goals, risk tolerance, and unique needs, and assist in developing appropriate investment approaches.
• Review basic client goals and risk tolerance, assess investment profiles, and evaluate financial needs related to lower-risk, more routine investment solutions.
• Support client relationship development by delivering quality service and contributing to a positive client experience.
• Collaborate with internal partners and refer clients, when appropriate, to specialists for additional products.
• Build foundational knowledge of financial products, regulatory requirements, and Wells Fargo Advisors processes.
• This LO position includes customer contact and job duties such as assessing client needs and referring interested customers to a SAFE team member for dwelling-secured products. This role involves assisting customers without taking an application or offering or negotiating terms of a dwelling-secured transaction. Individuals in this role must meet Loan Originator (LO) requirements under Regulation Z.

Requirements & Tech Stack

• 6+ months of customer service, sales, relationship building experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
• Successfully completed Securities Industry Essentials (SIE) exam or equivalent.

Desired Qualifications

• Experience in financial services, wealth management, financial advising, and investment planning, with the ability to support clients in developing appropriate approaches for their financial goals and build strong banking relationships.
• Ability to understand customer needs through consultative conversations, assess financial goals, risk tolerance, and investment profiles, and support appropriate recommendations and next steps based on client circumstances.
• Experience performing financial analysis and investment evaluation to assess client information, investment needs, and potential solutions.
• Demonstrated ability to build, manage, and maintain client relationships by delivering a positive client experience, addressing inquiries, following through on commitments, and supporting ongoing relationship growth.
• Knowledge of bank regulations, financial regulation requirements, compliance requirements and regulatory compliance expectations within a financial services or wealth management environment.
• Proven ability to collaborate with Financial Advisors, internal partners, and specialists to support client needs, identify referral activities, and connect clients to appropriate resources and capabilities.

Job Expectations

• Individuals in Loan Originator (LO) positions must meet the Consumer Financial Protection Bureau qualification requirements and comply with related Wells Fargo policies. The LO qualification requirements include meeting applicable financial responsibility, character, general financial fitness and criminal background standards. A current credit report will be used to assess your financial responsibility and credit fitness, however, a credit score is not included as part of the evaluation. Successful candidates must also meet ongoing regulatory requirements including additional screening, if necessary.
• US only: Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. FINRA licenses must be registered with the appropriate Wells Fargo entity prior to an employee engaging in any type of offering, selling, or promoting securities products. FINRA Series 7 and 66 (or 63 and 65) examinations, or equivalent as well as state Variable, Life and Health insurance licenses 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 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.
• 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.
• U.S. only: This position is not eligible for Visa sponsorship.