Brokerage Associate

Position: Client Support Specialist- Finra Licensing Program

1. Address: W Wt Harris BLVD Charlotte Nc
2. Pay Rate: 19
3. Position Type/Duration of Assignment: 4 month contract to hire
4. Preferred Skills:

• Degree in finance or similar field
• Desire to work in finance/brokerage
• Desire to obtain SIE, Series 7, and Series 63
• Open to supporting clients over the phone with their questions on investements and other financial inquiries

1. Job Description:

Notes:

• Candidates will spend the first 11 weeks obtaining their Finra Licenses- 4 weeks to get SIE, 4 weeks to get Series 7, and 2 weeks to obtain Series 63. After obtaining their licenses they will be trained on the day to day of the job. Training will last about 4 weeks post licensing.
• With Summer coming it is important to discuss vacation plans with all candidates. Candidates can not miss days during licensing or training. Any days that might be missed need to be discussed with me. Very little acception to this rule.
• All fees, equipment, and software costs are covered by Wells Fargo and candidates will be paid 19 per hour during licensing.
• Study for licensing and training will be onsite at Wells Fargo 5 days a week. Attendance is mandatory.

seeking a Trading Enablement Assistant 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:

• Work within a contact center environment to execute and confirm routine securities transactions initiated by customers
• Provide quality customer service addressing issues, trading strategies, market terminology and account status
• Identify and recommend opportunities for process improvement and risk control development
• Serve as subject matter expert for the securities market
• Understand fundamental and technical information affecting the market
• Make decisions and resolve issues to meet business objectives
• Interpret policies, procedures, and compliance requirements
• Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
• Interact with internal customers
• Exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements

Required Qualifications, US:

• 2 years of client service or trading 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
• 1 year of 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 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 may also be required