Lead Wealth Service & Stock Plan Support

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

Benefits offered by this job

Medical, dental, vision & life ins.

401(k) with company matching

Tuition reimbursement

Generous PTO and holidays

Volunteer time off

Diversity and inclusion BRGs

Job summary

Empower is seeking a Lead Workplace Planning & Stock Plan Participants Services Associate to enhance escalated caller experiences and ensure regulatory compliance across the multi-site RSG-AAG Investment Service team.

The role focuses on coaching associates, improving wealth management conversations, and delivering Best Interest Profile supervisory reviews in alignment with Empower's culture and operating principles.

Qualifications

• Bachelor's Degree or equivalent experience in financial services.
• Five years of wealth management experience.
• FINRA Series 7, 24, 63, and 65 registrations required.
• FINRA fingerprinting required.
• Experience in brokerage trading and trade approval preferred.

Responsibilities

• Handle escalated calls, conduct quality call monitoring, and supervise Best Interest Profile reviews.
• Coach associates on cross-selling, wealth management conversations, and tax-exempt strategies.
• Coordinate research requests and ensure timely resolution with Supervisory Managers.
• Provide input on call quality, issues identified, and training needs for associates.
• Identify trends from quality concerns and recommend management solutions.
• Monitor calls to ensure service excellence and completion of supervisory reviews.
• Develop training materials with management and the RSG training team.

Skills

Client relationship management

Coaching & training

Regulatory compliance

Problem solving

Education

Bachelor's degree or equivalent experience in financial services

Tools

FINRA registrations (Series 7, 24, 63, 65)

FINRA fingerprinting

Job description

Empower is seeking a Lead Workplace Planning & Stock Plan Participants Services Associate to enhance escalated caller experiences and ensure regulatory compliance across the multi-site RSG-AAG Investment Service team.

The role focuses on coaching associates, improving wealth management conversations, and delivering Best Interest Profile supervisory reviews in alignment with Empower's culture and operating principles.