Lead Associate - Financial Wellness Planning & Advisory Services

Empower Retirement; Greenwood Village (CO); Hybrid; USD 66,000 - 93,000; Full time

Benefits offered by this job

Medical, dental, vision insurance

401(k) with company matching up to 6%

Tuition reimbursement

Paid time off and holidays

Volunteer time off

Parental leave

Job summary

Empower Retirement is seeking a Lead Associate for Financial Wellness Planning & Advisory Services to manage escalated calls, coach staff, and ensure regulatory-compliant service excellence.

You will analyze trends, support leadership with data-driven insights, and contribute to training programs while upholding Empower's client-centric culture.

Qualifications

• Bachelor's degree or equivalent experience in financial services.
• FINRA licenses 7/24/63/65; fingerprinting required.
• Five years of wealth management experience; brokerage trading experience preferred.
• Experience researching complex escalated client issues and providing coaching.
• Ability to analyze operations data and present actionable recommendations.

Responsibilities

• Handle escalated calls, research issues, and coordinate timely resolutions with Supervisory Managers.
• Coach associates on wealth management conversations and cross-selling strategies.
• Monitor call quality and regulatory compliance; identify improvement opportunities.
• Prepare data-driven insights for leadership to improve performance.
• Complete Best Interest Profile supervisory reviews and support training efforts.
• Provide subject matter expertise and develop training materials with management.

Skills

Data analytics

Coaching

Communication

Education

Bachelor's degree or equivalent in financial services

FINRA Series 7/24/63/65 licenses

FINRA fingerprinting

Five years wealth management experience

Brokerage trading experience

Job description

Lead Associate - Financial Wellness Planning & Advisory Services

life insurance, parental leave, paid time off, tuition reimbursement, 401(k)

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.

The Lead Financial Wellness Planning and Advisory Services Associate is responsible for handling escalated calls, quality call monitoring, serving as a Principal reviewer and completing Best Interest Profile supervisory reviews for the multi-site Investment Service team. In partnership with leadership, the Lead Associate coaches associates to strengthen wealth management conversations and uses data and trend analysis to identify opportunities to improve service quality, associate performance, and operational outcomes. The role helps ensure a participant-focused, regulatory-compliant environment that reflects Empower's culture, vision, values, and operating principles.

What You Will Do

• Responsible for handling and responding to complex escalated calls including, working with the participant, researching the situation, timely resolution in partnership with Supervisory Managers, as well as related coaching with associates
• Handle complex escalated participant calls, research issues, coordinate timely resolutions with Supervisory Managers, and provide related coaching to associates.
• 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, regulatory compliance, and 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 opportunities for improvement.
• Develop and communicate data-driven insights and recommendations to leadership to support operational, service quality, and associate performance improvements.
• 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 the 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.

What You Will Bring

• 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

What Will Set You Apart

• 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.

***Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment visa at this time, including CPT/OPT.***

What we offer you

We offer an array of diverse and inclusive benefits regardless of where you are in your career. We believe that providing our employees with the means to lead healthy balanced lives results in the best possible work 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) - BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.

Base Salary Range

$65,600.00 - $92,675.00

Equal opportunity employer * Drug-free workplace

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 (40 and over), 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.

***For remote and hybrid positions you will be required to provide reliable high-speed internet with a wired connection as well as a place in your home to work with limited disruption. You must have reliable connectivity from an internet service provider that is fiber, cable or DSL internet. Other necessary computer equipment, will be provided. You may be required to work in the office if you do not have an adequate home work environment and the required internet connection.***