Assist with onboarding and training new hires to ensure efficient, compliant procedures and high-quality client experiences
Handle complex and escalated client calls, including research, coordination, and timely resolution in partnership with Supervisory Managers and cross-functional teams
Serve as a Principal on staff and complete Best Interest Profile supervisory reviews and other required supervisory functions
Conduct fraud verification processes and required second-level reviews in accordance with policy
Address client account questions and concerns in accordance with FINRA and SEC guidelines
Conduct call monitoring and monthly call reviews to ensure service excellence and regulatory adherence
Provide ongoing coaching to associates and advisors to strengthen wealth management conversations
Identify trends from escalations, quality reviews, and exceptions; recommend process and training improvements
Develop and maintain job aids, training materials, and team communications in partnership with leadership
Act as a subject matter expert for the team and provide ongoing guidance and support
Complete outbound calls as required by business needs
Requirements
FINRA Series 7, 24, 63, and 65 /66 registrations
FINRA fingerprinting required
Minimum 3-5 years of experience in financial services, including wealth management, brokerage, or trading support
Deep knowledge of brokerage, trading, retirement plan regulations, and wealth management strategies
Demonstrated ability to handle complex and escalated client issues
Proven ability to coach and train associates
Strong PC skills and ability to quickly learn internal systems
Independent, proactive, and solutions -oriented work ethic
Bachelor's degree required ; Business or Finance preferred, or equivalent experience in financial services
#pjpw
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
$79,400.00 - $112,175.00
Equal opportunity employer - Drug-free workplace
We are an equal opportunity employer with a commitment to diversit
Benefits
Health insuranceDental insuranceVision insurance401(k)Flexible schedulePerformance bonusParental leave
Additional Information
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.
As a Lead Associate Private Client (PC), you will serve as a knowledge leader across the Private Client Group Relationship Management team, supporting both Empower's Personal Strategy and Premier/Brokerage clients.
You will provide training, guidance, and real-time support to ensure client interactions are compliant, efficient, and aligned with Empower's culture, vision, values, and operating principles.
You will help curate an experience where every client feels like they are our only client by strengthening advisor capability, resolving complex issues with care and precision, and reinforcing a consistent standard of service excellence.
Empower · Nationwide Remote