Lead Associate – Financial Wellness Planning & Advisory Services

📋 Description

• Accountable for managing and addressing complex escalated calls.

• Investigate the situation and ensure prompt resolution in collaboration with Supervisory Managers.

• Provide continuous coaching to associates on cross-selling, wealth management, and tax-exempt strategies.

• Respond to inquiries or concerns related to participant accounts in compliance with FINRA / SEC guidelines.

• Execute the fraud verification process for distributions exceeding the specified amount per policy.

⛳️ Requirements

• Bachelor's Degree or relevant experience in financial services.

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

• FINRA fingerprinting is mandatory.

• Experience in brokerage trading and trade approval is preferred.

• A minimum of five years in wealth management experience is preferred.

• Proven ability in effectively resolving client escalated issues.

• Extensive knowledge of wealth management and tax-exempt sales strategies.

• Capability to coach, train, and develop job-related resources.

🏝️ Benefits

• Medical, dental, vision, and life insurance.

• Retirement savings – 401(k) plan with generous company matching contributions (up to 6%).

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

• Business-casual environment that allows for wearing jeans.

• Ample 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 promote inclusion and collaboration across our business internally and throughout the communities where we live, work, and play.