FINRA Licensed Wealth Associate
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Job Summary
Handling escalated client calls and providing coaching to associates, the full-time remote FINRA Licensed Wealth Associate will manage complex issues, conduct supervisory reviews, and enhance wealth management conversations in alignment with regulatory compliance and company values.
Key responsibilities
- Manage and resolve complex escalated client calls in partnership with Supervisory Managers
- Provide ongoing coaching to associates on wealth management strategies and service excellence
- Conduct supervisory reviews and monitor call quality to ensure compliance and improve team performance
Required qualifications
- Bachelor's Degree or equivalent experience in financial services
- FINRA Series 7, 63, 65, and 24 registrations required
- Five years of experience in wealth management
- Demonstrated ability to handle client escalated issues effectively
- Deep knowledge of wealth management and tax-exempt sales strategies
Complete Job Description
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