FINRA Licensed Wealth Management Lead
Job Summary
Responsible for managing escalated client calls, the full-time remote Lead Workplace Planning & Stock Plan Participants Services Associate will handle complex issues, provide coaching to associates, and ensure compliance with regulatory standards while fostering a participant-focused service environment.
Key responsibilities
- Handle and resolve complex escalated calls in partnership with Supervisory Managers
- Provide ongoing coaching to associates on wealth management conversations and strategies
- Monitor call quality and complete Best Interest Profile Supervisory reviews
Required qualifications
- Bachelor's Degree or equivalent experience in financial services
- Five years of wealth management experience
- FINRA Series 7, 24, 63, and 65 registrations required
- Experience in brokerage trading and trade approval preferred
- Demonstrated ability to handle client escalated issues effectively
Complete Job Description
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