Lead Associate - Financial Wellness Planning & Advisory Services

Empower • Overland Park, KS

23h • $65,600 - $92,675 • Hybrid

About The Position

The Lead Financial Wellness Planning and Advisory Services Associate is responsible for handling escalated calls, quality call monitoring, serving as a Principal reviewer and completing Best Interest Profile supervisory reviews for the Workplace Planning (including Executive Services) & Stock Plan Participant Services teams. In partnership with the leadership team, this position is responsible for coaching associates and improving the wealth management conversations and ensuring that each element of the team environment is participant focused, regulatory compliant, and embodies the Empower culture, vision, value and operating principles.

Requirements

• Bachelor's Degree or equivalent experience in financial services
• FINRA Series 7, 24, 63, and 65 registrations required
• FINRA fingerprinting required
• 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

Nice To Haves

• Experience in brokerage trading and trade approval preferred
• Five years of wealth management experience preferred
• Experience in brokerage trading and trade approval preferred
• Experience in stock plan services strongly preferred

Responsibilities

• Responsible for handling and responding to complex escalated calls including, working with the participant, researching the situation, timely resolution in partnership with Supervisory Managers, as well as related coaching with associates
• Coordinate and submit requests for research and follow up to ensure complete resolution as needed after the initial call
• Partner with supervisory managers to resolve exceptions in a timely manner
• Provide on-going coaching to associates on cross selling, wealth management, and tax-exempt strategies to new and existing representatives to develop a well-rounded wealth management conversation
• Coordinate the distribution and resolution of service requests (SR), to ensure completion in a timely manner
• Provide input to managers regarding quality of calls, issues identified, and recommend training for associates
• Identify trends from quality concerns, escalations, exceptions, and reviewing daily call statistics; recommend solutions to management
• Responsible for call monitoring to ensure service excellence
• Responsible for completing all necessary elements of Best Interest Profile Supervisory reviews
• Support the leadership team with resource development for job aids, new hire training, new product training, metrics, etc.
• As a subject matter expert for team, develop training materials such as job aids and training manuals in partnership with management and the RSG training team
• Responsible for completing the fraud verification process for distributions over the specified amount per policy to ensure second level verification prior to distribution
• Address questions or concerns in relation to participant accounts in accordance with FINRA / SEC guidelines including research for customer calls where the customer believes a commitment was made to them and that commitment is outside guidelines
• Respond to managerial feedback and attending meetings and training sessions
• Coach, mentor, and cross train all employees
• Partner with supervisory managers to help them resolve exceptions in a timely manner
• Handle client escalated issues; responsible for resolution

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.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Associate degree