Lead Associate - Financial Wellness Planning & Advisory Services

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 RSG-AAG Investment Service 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 Investor Service team environment is participant focused, regulatory compliant, and embodies the Empower culture, vision, value and operating principles.

• 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
• Coordinate and submit requests for research and follow up to ensure complete resolution as needed after the initial call
• Partner with supervisory managers to resolve exceptions in a timely manner
• Provide on-going coaching to EAG associates on cross selling, wealth management, and tax-exempt strategies to new and existing representatives to develop a well-rounded wealth management conversation
• Coordinate the distribution and resolution of service requests (SR), to ensure completion in a timely manner
• Provide 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; recommend 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 and training manuals in partnership with management and the RSG 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 attending meetings and training sessions
• Coach, mentor, and cross train all employees
• Partner with supervisory managers to help them resolve exceptions in a timely manner
• Handle client escalated issues; responsible for resolution

• Bachelor's Degree or equivalent experience in financial services
• FINRA Series 7, 24, 63, and 65 registrations required within corporate-established timelines
• FINRA fingerprinting required
• Five years of wealth management experience preferred
• 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

• Experience in brokerage trading and trade approval preferred
• Experience in stock plan services strongly preferred

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.

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,…