Defined Contribution Team Lead – Retirement Plans

Alight Solutions Ltd; Illinois; On-site; USD 60,000 - 70,000; Full time

Job summary

Alight is seeking a leader to manage Registered Representatives supporting employer-sponsored retirement plans. You will enhance client and participant experiences while overseeing payment processing, retirement-education, and financial-wellness services.

Requirements include FINRA Series 6 and 63 licenses, ability to obtain Series 24/26, and deep knowledge of retirement plans and regulatory requirements. Strong leadership and coaching skills are essential.

Qualifications

• FINRA Series 6 and 63 licenses.
• Ability to obtain Series 24 or 26 license within six months.
• Experience in financial services and/or retirement-benefits industry.
• Advanced knowledge of investments and employer-sponsored retirement plans.
• Working knowledge of qualified retirement-plan requirements.
• Intermediate knowledge of compliance, regulatory, and legislative requirements.
• People leadership experience in a contact center or customer-service environment.
• Experience coaching and developing team members.
• Experience creating and maintaining audit and compliance procedures.
• Experience handling customer escalations and complaints.

Responsibilities

• Lead a team of Registered Representatives supporting participants in employer-sponsored retirement plans.
• Monitor and improve service quality with a focus on associate development.
• Coach and develop Registered Representatives with ongoing feedback and support.
• Complete monthly call evaluations and conduct silent monitoring when appropriate.
• Administer applicable customer care and HR policies; support performance-management processes.
• Manage compensation and pay processes for aligned Registered Representatives within budgets and guidance.
• Support associates in achieving service and performance metrics, including handle-time and schedule adherence.
• Provide Representatives with program, policy, procedure, and tool expertise; resolve customer concerns and escalations.
• Provide guidance related to defined contribution plans, including distributions, loans, and investments.
• Build knowledge of financial wellness solutions and communicate information to the team.
• Identify opportunities to improve processes, tools, and client procedures; share recommendations with partners.
• Maintain compliance with AFS WSPs and FINRA requirements.
• Contribute to development of supervisory procedures to meet regulatory requirements.

Skills

People leadership

Coaching

Customer escalations handling

Audit/compliance

Regulatory knowledge

Education

FINRA Series 6 & 63 licenses

Ability to obtain Series 24/26 within 6 months

Job description

Alight is seeking a leader to manage Registered Representatives supporting employer-sponsored retirement plans. You will enhance client and participant experiences while overseeing payment processing, retirement-education, and financial-wellness services.

Requirements include FINRA Series 6 and 63 licenses, ability to obtain Series 24/26, and deep knowledge of retirement plans and regulatory requirements. Strong leadership and coaching skills are essential.