Overview
This Lead Financial Wellness Planning and Advisory Services Associate role supports a multi-site Investment Service team by handling escalated calls, performing quality monitoring, serving as a Principal reviewer, and completing Best Interest Profile supervisory reviews. The position partners with leadership to coach associates, using data and trend analysis to improve service quality, associate performance, and operational outcomes, while helping ensure a participant-focused, regulatory-compliant environment.
Responsibilities
- Handle and respond to complex escalated participant calls, including researching issues and coordinating timely resolution with Supervisory Managers.
- Coordinate research requests and follow up to ensure complete resolution of participant issues.
- Partner with Supervisory Managers to resolve exceptions and complex service issues in a timely manner.
- Monitor calls for service quality and regulatory compliance and identify opportunities for associate coaching and development.
- Coach associates on cross-selling, wealth management, and tax-exempt strategies to strengthen participant conversations.
- Analyze call statistics, quality results, escalations, exceptions, service requests, and other operational data to identify trends, patterns, and improvement opportunities.
- Develop and communicate data-driven insights and recommendations to leadership to support operational and service quality improvements and associate performance.
- Use reporting and analytical tools to evaluate performance metrics and translate findings into actionable recommendations.
- Coordinate the distribution and resolution of service requests to support timely completion.
- Provide managers with feedback on call quality, identified issues, and associate training opportunities.
- Complete all required elements of Best Interest Profile supervisory reviews.
- Support leadership with development of job aids, new-hire training, new-product training, performance metrics, and other resources.
- Serve as a subject matter expert and develop training materials (including job aids and training manuals) in partnership with management and training teams.
- Complete fraud verification for distributions exceeding established policy thresholds, including required second-level verification prior to distribution.
- Research and address participant account questions and concerns in accordance with FINRA and SEC guidelines, including situations involving disputed commitments.
- Coach, mentor, train, and cross-train associates.
- Make outbound calls as required by business needs.
- Serve as a Principal on staff.
- Attend required meetings and training sessions and respond appropriately to managerial feedback.
Requirements
- Bachelor’s Degree or equivalent experience in financial services
- FINRA Series 7, 24, 63, and 65 registrations required. FINRA Series 9/10 may be accepted in lieu of Series 24.
- FINRA fingerprinting required
- Experience in brokerage trading and trade approval preferred
- Five years of wealth management experience
Preferred Qualifications
- Analyst or data analytics experience, including experience analyzing operational or performance data to identify trends and support business decisions.
- Experience developing reports, dashboards, metrics, or data-driven recommendations for business leaders.
- Experience using reporting and analytical tools to evaluate business and performance data.
- Experience with brokerage trading and trade approval.
- Demonstrated ability to effectively handle and resolve escalated client issues.
- Deep knowledge of wealth management and tax-exempt sales strategies.
- Ability to coach and train associates and develop job-related resources.
- Dependability and sound judgment.
Compensation & Benefits
- Base salary range: $65,600.00 - $92,675.00
- Non-sales positions have the opportunity to participate in a bonus program.
- Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance.
- 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 includes the option to wear 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) – open to all
Additional Information
- Applicants must be authorized to work for any employer in the U.S. Sponsorship of an employment visa, including CPT/OPT, is not available.
- Equal opportunity employer.
- Drug-free workplace.
Work Location / Remote & Hybrid Requirements
For remote and hybrid positions, reliable high-speed internet with a wired connection is required, along with a suitable place in the home to work with limited disruption. Connectivity must be available from an internet service provider that is fiber, cable or DSL. Other necessary computer equipment will be provided. The role may require working in the office if the home work environment and required internet connection are not adequate.
Application Deadline
Job Posting End Date: 10-01-2026 at 12:01 am