Lead Associate – Financial Wellness Planning & Advisory Services

This is a fully remote position, open to applicants in United States.

📋 Description

• Manage intricate escalated participant inquiries and investigate issues.

• Collaborate with Supervisory Managers to ensure prompt resolutions.

• Oversee the distribution of research requests and service requests until completion.

• Monitor calls for service excellence, regulatory adherence, and coaching opportunities.

• Guide associates on cross-selling techniques, wealth management, and tax-exempt strategies.

• Evaluate call statistics, quality metrics, escalations, exceptions, service requests, and operational data.

• Create and present data-driven insights and recommendations to leadership.

• Utilize reporting and analytical tools to assess performance metrics.

• Offer managers feedback on call quality, identified challenges, and training needs.

• Perform supervisory reviews of Best Interest Profiles.

• Assist in the development of job aids, new-hire training, new-product training, performance metrics, and other resources.

• Produce training materials, job aids, and manuals for training purposes.

• Conduct fraud verification for distributions that exceed policy limits.

• Investigate and respond to participant account inquiries following FINRA and SEC regulations.

• Mentor, coach, train, and cross-train associates.

• Make outbound calls as needed based on business requirements.

• Act as a Principal on staff.

• Attend necessary meetings and training sessions and respond to managerial feedback.

⛳️ Requirements

• Bachelor's Degree or equivalent experience in the financial services sector.

• Required FINRA Series 7, 24, 63, and 65 registrations.

• FINRA Series 9/10 may be accepted as an alternative to Series 24.

• FINRA fingerprinting is mandatory.

• Minimum of five years of experience in wealth management.

• Candidates must be authorized to work for any employer in the U.S.; no employment visa sponsorship or transfer of sponsorship, including CPT/OPT.

• Must have reliable high-speed internet with a wired connection and a minimally disruptive home work environment.

• Internet service should be fiber, cable, or DSL.

• Experience in brokerage trading and trade approvals is preferred.

• Analyst or data analytics experience is preferred.

• Experience in developing reports, dashboards, metrics, or data-driven recommendations is preferred.

• Familiarity with reporting and analytical tools is preferred.

• Proven ability to manage and resolve escalated client issues.

• Comprehensive understanding of wealth management and tax-exempt sales strategies.

• Capability to coach and train associates while creating job-related resources.

• Reliability and sound judgment are essential.

🏝️ Benefits

• Medical, dental, vision, and life insurance coverage.

• Retirement savings options, including a 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential discretionary contributions from the company, and a wide range of investment choices.

• Tuition reimbursement up to $5,250 per year.

• Business-casual work environment with the option to wear jeans.

• Generous paid time off upon hire, including a paid time off program along with ten paid company holidays and three floating holidays each calendar year.

• Paid volunteer time — 16 hours per calendar year.

• Leave of absence programs, which include paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA).

• Business Resource Groups (BRGs) available to all employees.

• Flexible work arrangements.

• Necessary computer equipment will be provided.

• Potential eligibility for a bonus program for non-sales roles.