Defined Contribution Team Manager

This is a fully remote position, open to applicants in North Carolina.

📋 Description

• Lead a team of Registered Representatives who assist participants in employer-sponsored retirement plans.

• Collaborate with the Financial Services team to monitor and enhance service quality continuously.

• Mentor and develop Registered Representatives through regular feedback and timely coaching.

• Conduct monthly call evaluations and perform silent monitoring when necessary.

• Implement customer care and HR policies while supporting performance management processes.

• Oversee compensation and payroll processes for designated Registered Representatives within set budgets and guidelines.

• Assist associates in meeting service and performance metrics, including handle time and adherence to schedules.

• Offer expertise in programs, policies, procedures, and tools to address customer issues and escalations.

• Provide guidance on defined contribution plans, including distributions, loans, investment options, and plan-specific provisions.

• Enhance knowledge of financial wellness solutions and relay pertinent information and directions to the team.

• Identify opportunities to refine processes, desktop tools, and client procedures, and share recommendations.

• Ensure compliance with AFS Written Supervisory Procedures and FINRA supervisory standards.

• Contribute to AFS supervisory procedures, ensuring that policies and client interactions adhere to regulatory requirements.

⛳️ Requirements

• Must possess FINRA Series 6 and Series 63 licenses.

• Ability to acquire a Series 24 or Series 26 license within six months of employment.

• Experience in financial services and/or the 401(k) and retirement benefits sector.

• Advanced knowledge of investments and employer-sponsored retirement plans.

• Working knowledge of qualified retirement plan requirements.

• Intermediate understanding of relevant compliance, regulatory, and legislative requirements.

• Experience in people leadership within a contact center or customer service environment.

• Proven track record in coaching and developing team members.

• Experience in creating and maintaining audit and compliance procedures.

• Skilled in handling customer escalations and complaints.

• Must have work authorization in the United States that does not currently or will not in the future require visa sponsorship.

• Must successfully pass applicable background checks.

🏝️ Benefits

• Health, dental, and vision coverage beginning on Day One.

• Wellbeing programs.

• Retirement plans with contribution matching.

• Generous paid time off.

• Parental leave.

• Opportunities for continuing education.

• Career advancement opportunities.

• Flexible working arrangements when feasible.

• Competitive total rewards package.

• Background-check-related processes as applicable to the position.