Lead Associate – Wealth Management, Premier Brokerage
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Job Description
Lead wealth management associate handling escalated participant calls and brokerage reviews. Coaching representatives and supporting compliant financial services at Empower.
Responsibilities:
- Handle and respond to complex escalated calls, research situations, resolve issues timely with Supervisory Managers, and coach associates
- Coordinate and submit research requests and follow up to ensure complete resolution
- Partner with Supervisory Managers to resolve exceptions
- Coach associates on cross-selling, wealth management, and tax-exempt strategies
- Coordinate distribution and resolution of service requests
- Provide managers input regarding call quality, identified issues, and recommended training
- Identify trends from quality concerns, escalations, exceptions, and daily call statistics; recommend solutions
- Monitor calls to ensure service excellence
- Complete all necessary elements of Best Interest Profile Supervisory reviews
- Support resource development for job aids, new-hire training, new-product training, and metrics
- Develop training materials such as job aids and training manuals with management and the EPW training team
- Complete fraud verification for distributions over policy-specified amounts
- Address participant-account questions in accordance with FINRA/SEC guidelines, including researching alleged commitments outside guidelines
- Respond to managerial feedback and attend meetings and training sessions
- Coach, mentor, and cross-train employees
- Make outbound calls as required by business needs
- Handle client escalated issues and support associates and managers with complex solutions
- Serve as a Principal on staff
Requirements:
- Bachelors Degree or equivalent experience in financial services
- FINRA Series 7, 24, 63, and 65 registrations required within corporate-established timelines (fully licensed strongly preferred)
- FINRA fingerprinting required
- Experience in brokerage trading and trade approval
- Five Years of Wealth management experience
- Demonstrated ability in effectively handling client escalated issues
- Dependable with good judgment
- Deep knowledge wealth management and tax exempt sales strategies
- Ability to coach, train and develop job related resources
- Must be authorized to work for any employer in the U.S.; employment visa sponsorship is unavailable, including CPT/OPT
- Must be available to work during the hours of 7am-7pm
- Reliable high-speed internet with a wired connection and a suitable home workspace
Benefits:
- Medical, dental, vision and life insurance
- Retirement savings – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup
- Tuition reimbursement up to $5,250/year
- Business-casual environment that includes the option to wear jeans
- Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year
- Paid volunteer time — 16 hours per calendar year
- Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA)
- Business Resource Groups (BRGs) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.
- Non-sales positions have the opportunity to participate in a bonus program
- Other necessary computer equipment will be provided
- Flexible work environment
- Fluid career paths and internal mobility
- Reliable high-speed internet with a wired connection and a suitable home workspace required for remote work
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