Lead Associate – Wealth Management / Premier Brokerage

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

📋 Description

• Manage and address intricate escalated calls, investigate circumstances, resolve challenges, and offer relevant coaching.

• Organize and submit research inquiries, following up to ensure complete resolution.

• Collaborate with Supervisory Managers to address exceptions promptly.

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

• Oversee the distribution and resolution of service requests.

• Provide managers with feedback on call quality, identified issues, and suggested training.

• Identify trends from quality concerns, escalations, exceptions, and daily call statistics; propose solutions.

• Monitor calls to guarantee service excellence.

• Complete all requisite elements of Best Interest Profile Supervisory reviews.

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

• Create training materials such as job aids and training manuals in collaboration with management and the EPW training team.

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

• Address participant account inquiries in compliance with FINRA/SEC regulations.

• Investigate customer calls related to commitments outside of applicable guidelines.

• Respond to managerial feedback and participate in meetings and training sessions.

• Coach, mentor, and cross-train team members.

• Make outbound calls as required by business needs.

• Manage client escalated issues and facilitate timely solutions to complex problems.

• Act as a Principal on staff.

⛳️ Requirements

• Bachelor’s Degree or equivalent experience in financial services.

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

• FINRA fingerprinting is mandatory.

• Experience in brokerage trading and trade approval is essential.

• A minimum of five years of wealth management experience.

• Proven capability in effectively managing client escalated issues.

• Reliable and possesses sound judgment.

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

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

• Availability to work from 7 am to 7 pm is required.

• Applicants must have authorization to work for any employer in the U.S.; employment visa sponsorship is not available, including CPT/OPT.

• For remote roles, reliable high-speed internet with a wired connection and a minimally disruptive home workspace are required; internet must be fiber, cable, or DSL.

🏝️ Benefits

• Medical, dental, vision, and life insurance.

• Retirement savings – 401(k) plan with generous 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 that allows for jeans.

• Generous 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) accessible to all.

• Eligibility for bonus programs for non-sales positions.

• Sales incentives and, in some cases, a bonus plan for sales positions.

• Flexible work environment.

• Other necessary computer equipment will be provided.