Associate Private Client Financial Advisor

Profile

At **MEMBERS ONLY**SIGN UP NOW***., we are looking for talented people who will put our customers at the center of everything we do. We are seeking candidates who embrace diversity, equity, and inclusion in a workplace where everyone feels valued and inspired.

Help us build a better **MEMBERS ONLY**SIGN UP NOW***.. It all begins with outstanding talent. It all begins with you.

About this role:

**MEMBERS ONLY**SIGN UP NOW***. is seeking an Associate Private Client Financial Advisor (LO)

in Wealth and Investment Management as part of **MEMBERS ONLY**SIGN UP NOW***. Advisors. Learn more about our career areas and lines of business at wellsfargojobs.com .

In this role, you will:


Participate in **MEMBERS ONLY**SIGN UP NOW***. Advisors training program for meeting personal, professional, and organizational client service and financial goals within the Financial Advisory - Private Client function
Review basic or tactical client goals and risk tolerance, assess investment profile, and evaluate client financial needs related to lower risk tasks and deliverables with narrower impact
Receive direction from more experienced financial advisors and exercise judgment within the defined parameters of the program while developing understanding of tools, resources, and coaching to provide enhanced service
Provide financial information, investment profiles, and client financial needs to more experienced financial advisors
This LO position has customer contact and job duties which may include needs assessing and referring those customers interested in a dwelling secured product to a SAFE team member. This position includes assisting customers without taking an application and without offering or negotiating terms of a dwelling secured transaction. Individuals in a LO position also must meet the Loan Originator requirements under Regulation Z (LO) outlined in the job expectations below


Required Qualifications, US:


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


Desired Qualifications:


FINRA registration including Series 7 and 66 (or FINRA recognized equivalents)
Financial services experience
Client services experience
6 months of client or sales services experience
Experience developing and managing client relationships
Sales or sales support experience
A BS/BA degree or higher
Established network in the local market


Job Expectations:


Individuals in Loan Originator (LO) positions must meet the Consumer Financial Protection Bureau qualification requirements and comply with related **MEMBERS ONLY**SIGN UP NOW***. 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
Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. FINRA Series 7 and 66 (or 63 and 65) 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. **MEMBERS ONLY**SIGN UP NOW***. 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, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CRF 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.


This position is not eligible for Visa sponsorship.

This position is fully commissioned and does not offer a base pay range

Pay Range

$0.00 - $0.00 Hourly

Benefits


Information about **MEMBERS ONLY**SIGN UP NOW***.'s employee benefits


We Value Diversity

At **MEMBERS ONLY**SIGN UP NOW***., we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

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 **MEMBERS ONLY**SIGN UP NOW***. 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.

Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, age, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

Company: **MEMBERS ONLY**SIGN UP NOW***. BANK

Req Number: R-256281

Updated: Sun Mar 05 00:00:00 UTC 2023

Location: PURCHASE,New York

Company info

Sign Up Now - FinancialServicesCrossing.com