Defined Contribution Team Manager - Virtual
About The Position
The Defined Contribution Team Manager leads a team of Registered Representatives who support participants in employer-sponsored retirement plans. The role focuses on delivering effective client and participant experiences through payment processing, retirement-plan education, and financial wellness services. The manager develops associates, monitors service quality and performance, supports regulatory compliance, and identifies improvements to processes, tools, and client procedures. The position is virtual, with occasional travel to a physical office location potentially required.
Requirements
- Possess FINRA Series 6 and Series 63 licenses.
- Ability to obtain a Series 24 or Series 26 license within six months of hire.
- Experience in financial services and/or the 401(k) and retirement-benefits industry.
- Advanced knowledge of investments and employer-sponsored retirement plans.
- Working knowledge of qualified retirement-plan requirements.
- Intermediate knowledge of relevant compliance, regulatory, and legislative requirements.
- People leadership experience in a contact center or customer-service environment.
- Experience coaching and developing team members.
- Experience creating and maintaining audit and compliance procedures.
- Experience handling customer escalations and complaints.
Responsibilities
- Partner with the Financial Services team to monitor and continuously improve service quality, focusing on associate development.
- Coach and develop Registered Representatives through ongoing feedback, timely coaching, and support.
- Complete required monthly call evaluations and conduct silent monitoring when appropriate.
- Administer applicable customer care and HR policies and support performance-management processes.
- Manage compensation and pay processes for aligned Registered Representatives within established budgets and guidance.
- Support associates in achieving service and performance metrics, including handle-time and schedule-adherence expectations.
- Provide Registered Representatives with program, policy, procedure, and tool expertise to help resolve customer concerns and escalations effectively.
- Provide guidance about defined contribution plans, including distributions, loans, investment choices, and plan-specific provisions.
- Build knowledge of financial wellness solutions and communicate relevant information and direction to the team.
- Identify opportunities to improve processes, desktop tools, and client procedures, and share recommendations with appropriate partners.
- Maintain compliance with applicable AFS Written Supervisory Procedures (WSPs) and FINRA supervisory requirements.
- Contribute to developing AFS supervisory procedures and help ensure policies and client interactions meet applicable regulatory requirements.
Benefits
- Health, dental, and vision coverage starting Day One.
- Wellbeing programs.
- Retirement plans with contribution matching.
- Generous time off.
- Parental leave.
- Continuing education and training.
- Career growth opportunities.
- Competitive total rewards package.
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What This Job Offers
Job Type
Full-time
Career Level
Manager
Education Level
No Education Listed
