Lead Associate - Financial Wellness Planning & Advisory Services
Core
Lead a multi-site Investment Service team by handling escalated participant calls, conducting quality monitoring, and serving as a Principal reviewer for Best Interest Profile supervisory reviews.
Role type
Senior IC Financial Wellness Planning & Advisory Services Lead
Builds
Participant-focused, regulatory-compliant financial service environment
Domain
Financial Services / Wealth Management / Investment Services
Deliverable
client delivery | dashboards & analysis
Required skills
Complex escalated call resolution, FINRA regulatory compliance, supervisory review execution, associate coaching, data trend analysis, fraud verification, training material development
Preferred skills
Brokerage trading and trade approval experience, data analytics and reporting, wealth management and tax-exempt sales strategies
Technologies
Reporting and analytical tools
Responsibilities
Handle and resolve complex escalated participant calls; Monitor call quality and regulatory compliance; Coach associates on wealth management and cross-selling; Analyze operational data to identify trends and improve service; Complete Best Interest Profile supervisory reviews; Conduct fraud verification for distributions exceeding policy thresholds; Develop training materials and job aids.
Seniority
Senior, hands-on IC with mentorship responsibilities