FINRA Licensed Wealth Management Associate
Job Summary
Handling escalated client calls, the full-time remote FINRA Licensed Wealth Management Associate will manage complex issues, provide coaching to associates, and ensure compliance with regulatory standards while fostering a participant-focused environment.
Key responsibilities
- Manage escalated client calls and coordinate resolutions with Supervisory Managers
- Provide ongoing coaching to associates on wealth management and tax-exempt strategies
- Conduct call monitoring and complete Best Interest Profile Supervisory reviews to ensure service excellence
Required qualifications
- Bachelor's Degree or equivalent experience in financial services
- FINRA Series 7, 24, 63, and 65 registrations required within corporate-established timelines
- Five years of wealth management experience
- Experience in brokerage trading and trade approval
- Ability to coach, train, and develop job-related resources
Complete Job Description
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