Lead Associate – Wealth Management, Premier Brokerage

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

📋 Description

• Address and manage intricate escalated calls, investigate circumstances, resolve problems, and mentor associates.

• Organize research inquiries and follow up to guarantee thorough resolution.

• Collaborate with Supervisory Managers to swiftly address exceptions.

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

• Oversee the distribution and resolution of service requests.

• Provide feedback to managers regarding call quality, identified challenges, and suggested training.

• Analyze trends from quality concerns, escalations, exceptions, and daily call metrics; propose solutions.

• Monitor calls to uphold service excellence.

• Complete all essential components of Best Interest Profile Supervisory reviews.

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

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

• Conduct fraud verification for distributions exceeding the defined policy amount.

• Respond to participant account inquiries following FINRA/SEC guidelines.

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

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

• Make outbound calls as dictated by business needs.

• Manage client escalated issues and provide support to associates and managers with complex escalations.

• Function as a Principal on staff.

⛳️ Requirements

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

• FINRA Series 7, 24, 63, and 65 registrations required within corporate-established timelines (fully licensed preferred).

• FINRA fingerprinting is required.

• Experience in brokerage trading and trade approval.

• Five years of wealth management experience.

• Proven ability to effectively manage client escalated issues.

• Dependable with sound judgment.

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

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

• Applicants must be authorized to work for any employer in the U.S.; sponsorship or takeover of employment visa sponsorship is not available, including CPT/OPT.

• Must be available to work during the hours of 7 am-7 pm.

• Reliable high-speed internet with a wired connection and appropriate home workspace for remote work.

🏝️ 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/year.

• Business-casual environment that allows for jeans to be worn.

• 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) – BRGs promote inclusion and collaboration within our business and the communities where we live, work, and play. BRGs are open to all.

• Flexible work environment.

• Remote work arrangement.

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