Retirement Counselor Team Manager
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Job Description
Lead a team of Retirement Counselors providing retirement account and distribution support. Oversee client interactions and ensure compliance for a major financial services provider.
Responsibilities:
- Overseeing and developing a team of Retirement Counselors.
- Creating supervisory procedures for retirement and distribution team and ensuring regulatory policy adherence.
- Overseeing client interactions to ensure compliance.
- Serving as escalation point and liaison between the sub-advisor, Clearing agent, corporate clients, and members.
- Developing and implementing comprehensive measurement and reporting systems to ensure the highest levels of customer satisfaction.
- Managing and continuously improving client service delivery and processes.
- Servicing participants by taking inbound and making outbound calls as needed for escalations and other situations.
Requirements:
- 7 years experience in financial services/retirement plan benefits arena.
- Series 7 and 66 securities licenses.
- Series 9/10 or 24 must be acquired within 6 months.
- Advanced knowledge of mutual funds, ETFs and employer sponsored retirement plans.
- Proficiency in managing/coaching others (3 years) in a Call Center environment.
- Intermediate compliance, regulatory and legislative knowledge in investment advice and overall financial management.
- Experience with creating and maintaining audit and compliance procedures (2 years).
- Intermediate knowledge of Managed & self-directed accounts, and the Delivery Model.
- Ability to speak Spanish is highly recommended.
Benefits:
- Health, dental and vision coverages starting Day One.
- Wellbeing programs.
- Retirement plans with contribution matching.
- Generous time off.
- Parental leave.
- Continuing education.
- Career growth opportunities.
- Flexible working arrangements.
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