Finra License Jobs in Utah (NOW HIRING)

About this role:

Wells Fargo is seeking an Associate Financial Relationship Advisor in Wealth and Investment Management as part of Wells Fargo Advisors. In this digital client relationship role, you will support prospective and existing clients from a corporate office environment, helping them access investment guidance, financial solutions, and relationship-based support through Wells Fargo Advisors. Learn more about career areas and business divisions at wellsfargojobs.com.

Growth Team

Supports new investment clients as they begin their relationship with Wells Fargo. Advisors help clients explore investment solutions, open accounts, and determine the best path forward through digital and advisory offerings.

Core Team

Provides ongoing relationship management for existing investment clients. Advisors build long-term relationships through proactive outreach, personalized guidance, and continuous support of clients' financial goals.

In this role, you will:

• Support clients and provide financial advice and counsel consistent with client goals, risk tolerance, and investment needs, with a focus on prospective and existing Wells Fargo clients in a digital, corporate-office environment.
• Partner with internal teams to support referred clients, digital investment relationships, portfolio review opportunities, and product or platform alignment.
• Build and grow relationships with existing and referred clients through proactive outreach, investment conversations, service support, and relationship management.
• Identify and recommend opportunities for process improvement and risk control development.
• Receive direction from a manager and exercise independent judgment while developing understanding of compliance and risk management requirements for the supported area.
• Collaborate and consult with peers, colleagues, and managers to resolve issues and achieve goals.
• Interact with internal and external customers while delivering professional, client-focused experience.

Required Qualifications:

• 6+ months of Client Management 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:

• Knowledge and understanding of banking or financial services industry
• Financial services experience
• 6 + months of client or sales services experience
• Experience developing and managing client relationships
• Sales or sales support experience
• Client service focus with experience listening, eliciting information efficiently, comprehending, and resolving complex customer issues
• Ability to make timely and independent judgment decisions while working in a fast-paced, results-driven environment
• Solid organizational, multi-tasking, and prioritizing skills Good verbal, written, and interpersonal communication skills
• Basic Microsoft Office (Word, Excel, and Outlook) skills Successfully completed
• Successfully completed Securities Industry Essentials (SIE) exam
• Successfully completed FINRA Series 7 and 66 (or 63 and 65) exams to qualify for immediate registration (or FINRA recognized equivalents)

Job Expectations:

• US only: 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. 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
• This position is not eligible for Visa sponsorship

Posting Location: 5201 W Amelia Earhart Dr. SALT LAKE CITY, UT 84116

Posting End Date:

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

We Value Equal Opportunity

Wells Fargo is an equal opportunity employer. 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.

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 Canada: Applications for employment are encouraged from all qualified candidates, including women, persons with disabilities, aboriginal peoples and visible minorities. Accommodation for applicants with disabilities is available upon request in connection with the recruitment process.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visitDisability 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.