Lead Associate - Wealth Management / Premier Brokerage

Empower • Overland Park, KS

1d • $65,600 - $92,675

About The Position

This position supports the Wealth Management / Premier Brokerage team by handling escalated calls, monitoring call quality, serving as a Principal reviewer, and completing Best Interest Profile supervisory reviews. In partnership with the leadership team, the Lead Associate coaches associates and helps improve wealth management conversations while ensuring the team remains participant-focused, regulatory-compliant, and aligned with Empower’s culture, vision, values, and operating principles.

The role also supports service-request and exception resolution, identifies trends in quality concerns and escalations, develops training resources, and helps associates and managers find timely solutions to complex issues. The position must be available to work during the hours of 7 a.m. to 7 p.m.

Requirements

• Bachelor’s degree or equivalent experience in financial services.
• FINRA Series 7, 24, 63, and 65 registrations required within corporate-established timelines; being fully licensed is strongly preferred.
• FINRA fingerprinting required.
• Experience in brokerage trading and trade approval.
• Five years of wealth management experience.
• Demonstrated ability to effectively handle client escalated issues.
• Dependability and good judgment.
• Deep knowledge of wealth management and tax-exempt sales strategies.
• Ability to coach, train, and develop job-related resources.
• Authorization to work for any employer in the United States; the employer is unable to sponsor or take over sponsorship of an employment visa, including CPT/OPT.

Responsibilities

• Handle complex escalated calls, research participant situations, coordinate timely resolution with Supervisory Managers, and provide related coaching to associates.
• Coordinate requests for research and follow up as needed to ensure complete resolution after the initial call.
• Partner with Supervisory Managers to resolve exceptions in a timely manner.
• Coach associates on cross-selling, wealth management, and tax-exempt strategies to develop well-rounded wealth management conversations.
• Coordinate the distribution and resolution of service requests to ensure timely completion.
• Provide managers with input on call quality and identified issues, and recommend associate training.
• Identify trends from quality concerns, escalations, exceptions, and daily call statistics, and recommend solutions to management.
• Monitor calls to ensure service excellence.
• Complete all necessary elements of Best Interest Profile supervisory reviews.
• Support leadership with resource development, including job aids, new-hire training, new-product training, and metrics.
• Develop training materials, such as job aids and training manuals, in partnership with management and the EPW training team.
• Complete fraud verification for distributions above the amount specified by policy, providing second-level verification before distribution.
• Address questions or concerns about participant accounts in accordance with FINRA and SEC guidelines, including researching calls involving alleged commitments outside guidelines.
• Respond to managerial feedback and attend meetings and training sessions.
• Coach, mentor, and cross-train employees; provide training and coaching to associates.
• Serve as a Principal on staff.
• Make outbound calls as required by business needs.
• Handle and resolve escalated client issues and support associates and managers with timely solutions to complex escalations.
• Work during the hours of 7 a.m. to 7 p.m.

Benefits

• Medical, dental, vision, and life insurance.
• 401(k) plan with company matching contributions up to 6%, financial advisory services, potential company discretionary contribution, and a broad investment lineup.
• Tuition reimbursement up to $5,250 per year.
• Business-casual environment with the option to wear jeans.
• Paid time off upon hire, ten paid company holidays, and three floating holidays each calendar year.
• 16 hours of paid volunteer time per calendar year.
• Leave programs including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA).
• Business Resource Groups open to all associates.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level