Lead Assoc Workplace Planning & Stock Plan Participant Services

Empower LLC; Manila, Hinoba-an; Hybrid; PHP 1,200,000 - 1,800,000; Full time

Job summary

Empower LLC is seeking a Senior Supervisory Principal for the Investment Service team to oversee complex client escalations and brokerage trade approvals. You will review Best Interest profiles, monitor calls for quality and compliance, and provide coaching to associates to enhance wealth management conversations.

The role requires 5+ years in wealth management, FINRA registrations, and the ability to work independently while ensuring regulatory alignment with Empower's policies and culture.

Qualifications

• Bachelor's degree or equivalent financial services experience.
• Minimum of 5 years of wealth management experience.
• Regulatory registrations (FINRA Series 7/24/63/65 or 66) within timelines.
• FINRA fingerprinting required.
• Experience with brokerage trading and trade approval.
• Ability to coach and train associates and develop training resources.

Responsibilities

• Serve as a supervisory Principal for the Investment Service team, providing oversight per FINRA/SEC/internal requirements.
• Handle escalated participant and client calls, research issues, resolve, coordinate with managers.
• Coach and mentor associates to improve wealth management conversations.
• Perform Best Interest Profile supervisory reviews and documentation.
• Monitor calls for quality, compliance, and policy adherence.
• Review and approve brokerage trades and implement corrections.

Skills

Wealth management

Client issue resolution

Coaching & training

Independent work

Quality monitoring

Education

Bachelor's degree or equivalent experience

Tools

Brokerage platforms

Compliance tools

Job description

Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them.

Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself.

Alternative standardized titles could include Investment Services Supervisory Principal or Wealth Management Principal, depending on the organization's job architecture.

This position provides supervisory and operational support for the multi-site WPA-AAG Investment Service team. The role handles complex participant escalations, performs quality call monitoring, serves as a Principal reviewer, completes Best Interest Profile supervisory reviews, and provides oversight of brokerage trading and trade approvals.

In partnership with leadership and Supervisory Managers, this position coaches associates to improve wealth management conversations and helps ensure the Investment Service environment remains participant-focused, compliant with applicable regulatory requirements, and aligned with Empower's culture, values, and operating principles.

What You Will Do

• Serve as a supervisory Principal for the Investment Service team, providing oversight in accordance with applicable FINRA, SEC, and internal requirements.
• Handle complex escalated participant and client calls, research issues, determine appropriate resolution, and coordinate with Supervisory Managers and internal partners.
• Support associates and managers in resolving complex participant issues, escalations, and exceptions in a timely manner.
• Perform Best Interest Profile supervisory reviews and complete required supervisory documentation.
• Monitor calls for service quality, regulatory compliance, and adherence to established policies and procedures.
• Provide coaching and feedback to associates based on call monitoring, escalations, exceptions, and identified development opportunities.
• Coach associates on wealth management conversations, cross-selling, and tax-exempt strategies in accordance with applicable policies and regulatory requirements.
• Review call statistics, quality concerns, escalations, and exceptions to identify trends and recommend solutions to management.
• Review and approve brokerage trades and implement trade corrections in accordance with established supervisory procedures.
• Perform fraud verification for distributions exceeding established policy thresholds, providing required second-level verification before distribution.
• Research and resolve participant account questions and concerns in accordance with applicable FINRA and SEC requirements, including situations involving disputed customer commitments.
• Coordinate research requests and follow through to ensure complete resolution of participant issues.
• Coordinate the distribution and resolution of service requests to support timely completion.
• Develop job aids, training manuals, new-hire training resources, new-product training materials, and other associate resources in partnership with management and the RSG training team.
• Coach, mentor, train, and cross-train associates.
• Provide management with feedback regarding call quality, identified issues, trends, and recommended training opportunities.
• Conduct outbound participant calls as required by business needs.
• Participate in meetings, training, and other leadership or department initiatives.
• Work independently to evaluate call quality, determine appropriate escalation of calls, approve trades, and implement trade corrections.

What You Will Bring

• Bachelor's degree or equivalent financial services experience.
• Minimum of 5 years of wealth management experience.
• FINRA Series 7, Series 24, Series 63, and Series 65 or Series 66 registrations required within corporate-established timelines; FINRA Series 9 and 10 may be accepted in lieu of Series 24.
• FINRA Fingerprinting required.
• Experience with brokerage trading and trade approval.
• Experience effectively managing and resolving escalated client or participant issues.
• Deep knowledge of wealth management and tax-exempt strategies.
• Ability to coach and train associates and develop job-related training resources.
• Demonstrated sound judgment and dependability.
• Ability to work independently when conducting call-quality reviews, evaluating escalations, approving trades, and implementing trade corrections.
• Knowledge of FINRA and SEC requirements applicable to wealth management, brokerage transactions, and supervisory reviews.
• Experience conducting supervisory or principal-level reviews in a regulated financial services environment.
• Experience with Best Interest Profile reviews and/or Regulation Best Interest requirements. The posting references Best Interest Profile supervisory reviews but does not explicitly identify this expertise as a candidate qualification.

What Will Set You Apart

• Prior experience serving as a FINRA-registered Principal or in a securities supervisory capacity.
• Experience coaching or mentoring wealth management, brokerage, or investment service professionals.
• Experience with quality monitoring, supervisory controls, trade corrections, and regulatory exception management.
• Experience developing training materials, job aids, and associate development resources.

We are an equal opportunity employer with a commitment to diversity. All individuals, regardless of personal characteristics, are encouraged to apply. All qualified applicants will receive consideration for employment without regard to age, race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law.