Brokerage Support Specialist

About this role:

Wells Fargo is seeking a Brokerage Support Assistant in Wealth and Investment Management as part of Wells Fargo Advisors.  Learn more about our career areas and lines of business at wellsfargojobs.com.

In this role you will:

• Process deposits of client funds and/or securities
• Enter securities, payments, and orders into the system, prepare client receipts, and forward securities with any supporting documentation to the Home Office
• Ensure that financial transactions are completed in a timely fashion to reduce financial exposure to both the client and the firm
• Identify and prevent potential risk-related transactions
• Disseminate morning reports
• Maintain accurate records per Corporate and Securities regulations, while meeting daily deadlines for bank deposits and system cutoffs
• Identify opportunities for process improvement and risk control development in less complex functional areas
• Leverage interpretation of policies, procedures, and compliance requirements
• Collaborate and consult with peers, colleagues, and mid-level managers, as well as interact directly with external customers

Required Qualifications:

• 2 years of Brokerage Support experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

• Brokerage operations experience
• Financial services industry experience
• Experience in cashiering or wire operations
• Strong organizational, multi-tasking, and prioritizing skills
• Ability to work in a fast paced deadline driven environment
• Knowledge and understanding of brokerage: systems or applications
• Strong analytical skills with high attention to detail and accuracy
• Excellent verbal, written, and interpersonal communication skills

Job Expectations:

• 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, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 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.

Posting Location:

• 555 California St Ste 2300 San Francisco, California 94104

• 2033 N Main St Ste 800 & 1075 Walnut Creek, California 94596

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.

Benefits

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement

Posting End Date:

*Job posting may come down early due to volume of applicants.

We Value Diversity

At Wells Fargo, 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 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.

Candidates applying to job openings posted in US: 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.

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.