Lead Associate - Wealth Management / Premier Brokerage

Overview

This role handles escalated calls, quality call monitoring, serves as a Principal reviewer, and completes Best Interest Profile supervisory reviews for the Wealth Management / Premier Brokerage team. Working in partnership with leadership, the role coaches associates to improve wealth management conversations while ensuring the team environment is participant focused and regulatory compliant.

Responsibilities

• Handle and respond to complex escalated calls, including partnering with participants, researching issues, and driving timely resolution in partnership with Supervisory Managers; provide related coaching to associates.
• Coordinate and submit research requests and follow up to ensure complete resolution as needed after the initial call.
• Partner with Supervisory Managers to resolve exceptions in a timely manner.
• Provide ongoing coaching to associates on cross selling and wealth management, including tax exempt strategies, to new and existing representatives.
• Coordinate the distribution and resolution of service requests (SR) to ensure completion in a timely manner.
• Provide input to managers regarding call quality, issues identified, and recommended training for associates.
• Identify trends from quality concerns, escalations, exceptions, and daily call statistics; recommend solutions to management.
• Perform call monitoring to ensure service excellence.
• Complete all necessary elements of Best Interest Profile Supervisory reviews.
• Support leadership with resource development (job aids, new hire training, new product training, metrics, etc.).
• Act as a subject matter expert to develop training materials (job aids, training manuals) in partnership with management and the EPW training team.
• Complete the fraud verification process for distributions over the specified amount per policy to ensure second level verification prior to distribution.
• Address participant account questions or concerns in accordance with FINRA / SEC guidelines, including research for customer calls where the customer believes a commitment was made outside guidelines.
• Respond to managerial feedback and attend meetings and training sessions.
• Coach, mentor, and cross-train employees.
• Partner with Supervisory Managers to help resolve exceptions in a timely manner.
• Support associates and managers with timely solutions to complex, escalated issues.
• Provide training and coaching to associates.
• Serve as a Principal on staff.
• Complete outbound calls as required by business needs.

Requirements

• Bachelors Degree or equivalent experience in financial services.
• FINRA Series 7, 63, 65 and 24 registrations required.
• FINRA fingerprinting required.
• Experience in brokerage trading and trade approval.
• Five Years of Wealth management experience.
• Demonstrated ability in effectively handling client escalated issues.
• Dependable with good judgment.
• Deep knowledge of wealth management and tax exempt sales strategies.
• Ability to coach, train, and develop job-related resources.
• Must be available to work during the hours of 7am-7pm.
• Applicants must be authorized to work for any employer in the U.S. The employer is unable to sponsor or take over sponsorship of an employment visa at this time, including CPT/OPT.

Preferred Qualifications

• None stated.

Compensation & Benefits

• Base Salary Range: $65,600.00 - $92,675.00
• Non-sales positions may 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 (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

Location

• Not specified.

Additional Information

• For remote and hybrid positions, the role requires reliable high-speed internet with a wired connection and a place in the home to work with limited disruption. Connectivity must come from an internet service provider that is fiber, cable, or DSL internet. 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.
• Equal opportunity employer; drug-free workplace.

Application Deadline

• Job Posting End Date at 12:01 am on 11-14-2026