Lead Associate - Wealth Management / Premier Brokerage

Empower; Oregon; Híbrido; USD 66.000 - 93.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Medical, dental, vision, and life-ins

401(k) with company match

Tuition reimbursement

Paid time off

Volunteer time

BRGs

Casual dress

Descripción de la vacante

Empower is seeking a Senior Specialist to handle escalated calls, oversee best-interest reviews for Wealth Management and Premier Brokerage, and coach associates to enhance wealth-management conversations. The role partners with leadership to ensure regulatory compliance and a participant-focused environment, aligned with Empower's culture and operating principles.

You will drive training materials, manage research requests, and support supervision with performance metrics while ensuring

Formación

• Bachelor's Degree or equivalent experience in financial services.
• FINRA Series 7, 24, 63, and 65 registrations required within corporate-established timelines (fully licensed strongly preferred).
• 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.
• Applicants must be authorized to work for any employer in the U.S. (no sponsorship).

Responsabilidades

• Handle complex escalated calls and provide timely resolution in partnership with Supervisory Managers.
• Coordinate and submit research requests and ensure complete resolution after initial call.
• Partner with Supervisory managers to resolve exceptions in a timely manner.
• Provide coaching on cross selling, wealth management, and tax-exempt strategies to develop a stronger client conversation.
• Coordinate distribution requests to ensure timely completion.
• Provide input on call quality and training needs based on trends.
• Monitor calls to ensure service excellence.
• Complete Best Interest Profile Supervisory reviews.
• Support leadership with training materials and new product training.
• Develop training materials as SME with management and EPW training team.
• Perform fraud verification for distributions per policy.
• Address questions about participant accounts per FINRA/SEC guidelines.
• Attend meetings and training sessions; mentor and cross-train staff.
• Work during hours 7am-7pm.
• Remote/hybrid considerations as needed.

Conocimientos

Brokerage trading

Trade approvals

Wealth management

Coaching / training

Regulatory compliance

Educación

Bachelor's degree or equivalent experience in financial services

Descripción del empleo

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

• Bachelor's Degree or equivalent experience in financial services
• FINRA Series 7, 24, 63, and 65 registrations required within corporate-established timelines (fully licensed strongly preferred)
• 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.
• BRGs are open to all.

Base Salary Range$65,600.00 - $92,675.00

The salary range above shows the typical minimum to maximum base salary range for this position in the location listed. Non-sales positions have the opportunity to 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. Actual compensation offered may vary from posted hiring range based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.

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.

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