Claire Oshima Email & Phone Number

Assist Financial Advisor(s) with sales, service, and operational related activities such as providing service to clients via telephone, direct interaction and/or written correspondence. Facilitate Financial Advisor and client requests for account related information and/or quotes, schedule and prepare for appointments with new or prospective clients, establish and service client accounts, prepare forms, research account inquiries and/or issues. Execute various administrative functions for the Financial Advisor(s) and Branch Management including, but not limited to, tracking referrals, coordinating, and executing marketing campaigns, establishing and maintaining files to meet the firm's regulatory requirements, and establishing and maintaining filing and record keeping necessary to support efforts to service and grow client relationships. Act as the liaison for all referral sources by reviewing paperwork for completeness and forwarding to management for review when applicable. Utilize prior experience in the Registered Client Associate role to anticipate and proactively seek resolutions to client and business-related issues. Demonstrate seasoned judgment by handling complex clients with a high degree of professionalismViewed by peers as a subject matter expert and sought by others for advice or guidance. Provide knowledge and systems support to branch personnel and training for entry-level Client Associates.

Henderson, Nevada, United States

Supervise less experienced roles in transactional tasks and processes to ensure timely completion, quality, and compliance. Identify opportunities for process improvement and risk control development in less complex functional areas. Make day to day supervisory decisions and resolve issues related to team supervision, work allocation, and daily operations. 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. Manage allocation of people and financial resources for Brokerage Field Support. Mentor and guide talent development of direct reports and assist in hiring talent

San Diego, Ca

Responsible for supervision, risk, controls and other oversight tasks for branch(s) within one or more markets as assigned by the Field Governance Manager. Escalates required findings and issues as necessary to the Leadership Management Team. Works with the Leadership Management Team to ensure that branches within the markets follow compliance and supervisory policies, procedures, and processes. As delegated by the Field Governance Manager, serves as an escalation point for Home Office support and oversight groups. Works with Centralized Supervision to address and resolve alerts.

Las Vegas, Nevada

Assists financial advisors by providing sales and servicing support. Utilizes past experience as a registered brokerage associate to anticipate and proactively seek resolutions to client problems. Demonstrates seasoned judgment by handling difficult clients with a high degree of professionalism. Duties may include: opening accounts and processing paperwork; working with internal departments and/or directly with the client in solving service/operational issues, answering or providing information regarding procedural/sales questions, and processing client service requests (address changes, statement copies, etc.); processing the movement of funds and equities; scheduling appointments for new and existing clients; monitoring and tracking referrals; consistent level of competence in following firm compliance procedures and file maintenance; issuing sales/marketing information to clients; preparing marketing packages; ordering supplies; maintaining file system for prospective and existing clients; reviewing paperwork for completeness and forwarding to management for review. At the direction of financial advisor, may assist in analysis of performance data for investment options. Viewed by peers as a subject matter expert, and sought by others for advice or guidance. Provides operational training for new hires, both support staff, financial consultants, and financial advisors, and assists in their assimilation into the organization.

Las Vegas, Nevada Area

Wells Fargo Bank, N.A. is a bank affiliate of Wells Fargo & Company.