FINRA Licensed Wealth Management Associate
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Job Summary
To support a growing Wealth Management / Premier Brokerage team, the full-time remote FINRA Licensed Wealth Management Associate will handle escalated client calls, provide coaching to associates, and ensure compliance with regulatory standards while fostering a participant-focused environment.
Key responsibilities
- Manage and resolve complex escalated client calls in partnership with Supervisory Managers
- Coach associates on wealth management strategies and monitor call quality for service excellence
- Develop training materials and support the leadership team in resource development and training initiatives
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
- Demonstrated ability to effectively handle client escalated issues
Complete Job Description
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