Lead Associate - Private Client

Job Summary

Serving as a knowledge leader, the full-time remote Lead Associate - Private Client will support the Private Client Group by providing training, guidance, and real-time support to ensure compliant and efficient client interactions while enhancing service excellence.

Key responsibilities

• Assist with onboarding and training new hires to ensure efficient, compliant procedures and high-quality client experiences
• Handle complex and escalated client calls, coordinating timely resolutions in partnership with Supervisory Managers and cross-functional teams
• Conduct call monitoring and monthly reviews to ensure service excellence and regulatory adherence

Required qualifications

• FINRA Series 7, 24, 63, and 65/66 registrations
• Minimum 3-5 years of experience in financial services, including wealth management, brokerage, or trading support
• Deep knowledge of brokerage, trading, retirement plan regulations, and wealth management strategies
• Proven ability to coach and train associates
• Bachelor's degree required; Business or Finance preferred, or equivalent experience in financial services