Lead Associate - Wealth Management / Premier Brokerage

Empower Retirement; Greenwood Village (CO); Sur place; USD 66 000 - 93 000; Plein temps

Avantages offerts par ce poste

Medical insurance

Dental insurance

Vision insurance

Life insurance

401(k) match

Tuition reimbursement

Casual dress

Paid time off

Holiday schedule

Volunteer time off

Résumé du poste

Empower Retirement is seeking a qualified professional to handle escalated calls, perform quality call monitoring, and act as a Principal reviewer for the Wealth Management / Premier Brokerage team.

You will coach associates, enhance wealth management conversations, and ensure regulatory compliance while living the Empower culture and operating principles.

Qualifications

• Bachelors degree or equivalent in financial services.
• FINRA Series 7, 63, 65 and 24 registrations.
• FINRA fingerprinting required.
• Experience in brokerage trading and trade approval.
• Five years of wealth management experience.
• Ability to coach, train and develop resources.
• Wealth management and tax-exempt sales knowledge.

Responsabilités

• Handle complex escalated calls with research and timely resolution.
• Coordinate research requests and follow up to ensure complete resolution.
• Partner with Supervisory Managers to resolve exceptions promptly.
• Provide coaching on cross selling and wealth management conversations.
• Coordinate service requests to ensure timely completion.
• Identify trends from quality concerns and recommend solutions.
• Monitor calls to ensure service excellence.
• Complete Best Interest Profile supervisory reviews.
• Support leadership with training and job aids.

Connaissances

FINRA registrations

Fingerprinting

Brokerage trading

Wealth management

Escalation handling

Judgment

Tax-exempt sales

Coaching resources

Formation

Bachelor's degree in financial services

Description du poste

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.

This position is responsible for handling escalated calls, quality call monitoring, serving as a Principal reviewer and completing Best Interest Profile supervisory reviews for the Wealth Management / Premier Brokerage team.

In partnership with the leadership team, this position is responsible for coaching associates and improving the wealth management conversations, and ensuring that each element of the team environment is participant focused, regulatory compliant and embodies the Empower culture, vision, value 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
• Coordinates and submit requests for research and follows up to ensure complete resolution as needed after the initial call
• Partner with Supervisory managers to resolve exceptions in a timely manner.
• Provides on-going coaching to associates on cross selling, wealth management, tax exempt strategies to new and existing representatives to develop a well-rounded wealth management conversation
• Coordinates the distribution and resolution of service requests (SR), to ensure completion in a timely manner
• Provides input to managers regarding quality of calls, issues identified, and recommend training for associates
• Identify trends from quality concerns, escalations, exceptions and reviewing daily call statistics; recommends solutions to management
• Responsible for call monitoring to ensure service excellence
• Responsible for completing all necessary elements of Best Interest Profile Supervisory reviews
• Support the leadership team with resource development for job aids, new hire training, new product training, metrics, etc.
• As a subject matter expert for team, develop training materials such as job aids, training manuals in partnership with management and the EPW training team
• Responsible for completing the fraud verification process for distributions over the specified amount per policy to ensure second level verification prior to distribution
• Address questions or concerns in relation to participant accounts in accordance with FINRA / SEC guidelines, including research for customer calls where the customer believes a commitment was made to them and that commitment is outside guidelines
• Respond to managerial feedback, and attend meetings and training sessions
• Coach, mentor and cross train all employees
• Partner with Supervisory Managers to help them resolve exceptions in a timely manner
• Responsible for outbound calls as required by business needs
• Handles client escalated issues and responsible for resolution
• Supports associates and managers in timely solutions to complex, escalated issues
• Provides training and coaching to associates
• Serves as a Principle on staff
• Must be available to work during the hours of 7am-7pm

What You Will Bring

• 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 wealth management and tax exempt sales strategies.
• Ability to coach, train and develop job related resources

***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

Job Posting End Date at 12:01 am on:

11-14-2026

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.***