FINRA Licensed Lead Associate
Job Summary
As a FINRA Licensed Lead Associate in the Private Client Group, the full-time remote position will provide training and support to ensure compliance and service excellence while managing complex client interactions and onboarding new hires.
Key responsibilities
- Assist with onboarding and training new hires to ensure efficient and compliant client experiences
- Handle complex and escalated client calls, coordinating resolutions with Supervisory Managers and cross-functional teams
- Conduct call monitoring and provide ongoing coaching to associates to strengthen service quality and regulatory adherence
Required qualifications
- FINRA Series 7, 24, 63, and 65/66 registrations required
- Minimum 3-5 years of experience in financial services, including wealth management or brokerage
- Deep knowledge of brokerage, trading, and retirement plan regulations
- Proven ability to coach and train associates effectively
- Bachelor's degree required; Business or Finance preferred, or equivalent experience in financial services
Complete Job Description
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