Lead Assoc Workplace Planning & Stock Plan Participant Services
Core
Supervisory Principal providing oversight, quality monitoring, and coaching for a multi-site Investment Service team handling complex participant escalations and brokerage trades.
Role type
Senior IC supervisory principal (wealth management/investment services)
Builds
Participant account resolutions, trade approvals, regulatory compliance reviews, and training resources for associates
Domain
Financial services / Wealth management / Investment services
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Wealth management expertise, FINRA/SEC regulatory knowledge, brokerage trade approval, quality call monitoring, coaching and mentoring, training material development, complex issue resolution, fraud verification
Preferred skills
Prior experience as a FINRA-registered Principal, experience coaching wealth management professionals, experience with Regulation Best Interest requirements
Technologies
FINRA Series 7, 24, 63, 65/66, Series 9, 10
Responsibilities
Handle complex escalated participant and client calls; Perform Best Interest Profile supervisory reviews; Monitor calls for service quality and regulatory compliance; Coach associates on wealth management conversations and tax-exempt strategies; Review and approve brokerage trades; Conduct fraud verification for distributions exceeding thresholds; Develop job aids and training resources
Seniority
Senior, hands-on IC with supervisory responsibilities