Lead Associate – Private Client Group

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

📋 Description

• Assist in the onboarding process and training of new employees.

• Manage complex client calls that require escalation, ensuring thorough research, coordination, and timely resolutions with Supervisory Managers and cross-functional teams.

• Act as a Principal on staff, performing Best Interest Profile supervisory reviews and fulfilling other necessary supervisory duties.

• Carry out fraud verification procedures and necessary second-level reviews.

• Respond to client account inquiries and concerns in compliance with FINRA and SEC regulations.

• Perform call monitoring and conduct monthly reviews of calls.

• Offer continuous coaching to associates and advisors.

• Analyze trends from escalations, quality reviews, and exceptions, and propose enhancements for processes and training.

• Create and maintain job aids, training resources, and team communications in collaboration with leadership.

• Serve as a subject matter expert, providing ongoing guidance and support to the team.

• Make outbound calls as needed to meet business requirements.

⛳️ Requirements

• Required: FINRA Series 7, 24, 63, and 65/66 registrations.

• Required: FINRA fingerprinting.

• At least 3–5 years of experience in financial services, including roles in wealth management, brokerage, or trading support.

• Extensive knowledge of brokerage, trading regulations, retirement plans, and wealth management strategies.

• Proven capability to manage complex and escalated client issues effectively.

• Demonstrated success in coaching and training associates.

• Strong computer skills and the ability to rapidly learn internal systems.

• Must demonstrate an independent, proactive, and solutions-oriented work approach.

• A Bachelor’s degree is mandatory; a preference for Business or Finance, or equivalent experience in financial services is acceptable.

🏝️ Benefits

• Comprehensive medical, dental, vision, and life insurance coverage.

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

• Access to financial advisory services.

• Potential for company discretionary contributions.

• Wide range of investment options.

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

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

• Ample paid time off from the start, including a paid time off program.

• 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, short- and long-term disability, and Family and Medical Leave (FMLA).

• Participation in Business Resource Groups (BRGs).

• Non-sales positions have the opportunity to engage in a bonus program.

• Provision of necessary computer equipment along with reliable high-speed internet and a suitable home workspace.