Senior Customer Service Representative Licensed

In this role, you will:

• Review, analyze, edit, and approve both internal and external communications to ensure adherence to regulatory requirements, internal guidelines, and other risk-related issues
• Strategize marketing based on assessment of results-based environment and new opportunities for product implementation and enhancements
• Review global market dynamics, trends, regulatory impact, and risk management
• Present recommendations to resolve more complex situations and exercise independent judgment
• Adhere to compliance and privacy regulations and policies
• Collaborate and consult with project teams, internal partners and stakeholders, including vendors and third parties

Required Qualifications:

• 4+ years of Business Execution, Implementation, or Strategic Planning experience, or equivalent demonstrated through one or a combination of the following: work experience, training or education

Desired Qualifications:

• Successfully completed FINRA Series 7 exam to qualify for immediate registration (or FINRA recognized equivalents)
• General knowledge of alternative investments including private equity, private debt, private real estate and hedge funds
• Active FINRA Series 7 and Series 24
• Successfully completed FINRA Series 16 examination (Supervisory Analyst) OR FINRA Series 86/87 (Research Principal) to qualify for immediate registration (or FINRA recognized equivalents)
• General understanding of broker / dealer requirements and financial markets
• Proficiency in Microsoft Office as well as Adobe
• Strong attention to detail, ability to multi-task and prioritize workload based on greatest needs of the business
• Willing to work US hours
• Willing to work onsite (BGC office)

Job Expectations:

• Willing to work US hours
• Willing to work onsite (BGC office)
• This position requires one or more regulatory licenses as required by applicable regulations. Candidates who do not currently hold the necessary licenses may be considered for employment; however, obtaining the required licenses within the established timeframe following onboarding will be a condition of continued employment. Wells Fargo provides licensing support and sponsorship, including access to study resources and training, registration assistance and paid time for exam preparation, to help ensure timely completion of all licensing requirements.

Job Expectations:

• Series 24 reviews of communications and marketing collateral
• Supporting ongoing compliance and risk oversight functions
• Interaction with internal partners including consulting, research, publications, legal and operations

Posting End Date:
1 May 2026
*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, 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.