Lead Associate - Wealth Management / Premier Brokerage
About The Position
This position supports the Wealth Management / Premier Brokerage team by handling escalated participant calls, monitoring call quality, serving as a Principal reviewer, and completing Best Interest Profile supervisory reviews. Working with the leadership team, the Lead Associate coaches associates and helps improve wealth management conversations while ensuring the team environment is participant-focused, regulatory-compliant, and aligned with Empower’s culture, vision, values, and operating principles. The role also supports resolution of service requests and exceptions, identifies trends and recommends solutions, and develops training resources in partnership with management and the training team. The position serves as a subject matter expert, supports associates and managers with complex issues, and must be available to work during hours between 7 a.m. and 7 p.m.
Requirements
- Bachelor’s degree or equivalent experience in financial services.
- FINRA Series 7, 63, 65, and 24 registrations.
- FINRA fingerprinting.
- 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 by working with participants, researching situations, coordinating timely resolutions with Supervisory Managers, and providing related coaching to associates.
- Coordinate research requests and follow up 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 in 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 developing job aids, new-hire and new-product training, metrics, and other resources.
- Develop training materials, including job aids and training manuals, in partnership with management and the EPW training team.
- Complete fraud verification for distributions above the policy-specified amount to ensure 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 applicable guidelines.
- Respond to managerial feedback and attend meetings and training sessions.
- Coach, mentor, and cross-train employees.
- Serve as a Principal on staff.
- Make outbound calls as required by business needs.
- Resolve client escalations and support associates and managers in finding timely solutions to complex escalated issues.
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.
- Paid volunteer time: 16 hours 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 employees.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
