Lead Associate - Wealth Management / Premier Brokerage
Core
Lead Associate handling escalated calls, quality monitoring, and supervisory reviews for the Wealth Management / Premier Brokerage team.
Role type
Senior IC wealth management operations lead
Builds
Regulatory compliant, participant-focused wealth management conversations and service resolution
Domain
Financial services / Wealth Management
Deliverable
client delivery
Required skills
complex escalated issue resolution, wealth management strategies, tax exempt sales strategies, coaching and mentoring, fraud verification, regulatory compliance (FINRA/SEC), call monitoring, training material development
Preferred skills
brokerage trading and trade approval experience, fully licensed status (Series 7, 24, 63, 65)
Technologies
None stated
Responsibilities
Handle and resolve complex escalated customer calls; conduct quality call monitoring and supervisory reviews; coach associates on wealth management and cross-selling; coordinate service requests and research; develop training materials and job aids; verify fraud for large distributions; address regulatory compliance questions.
Seniority
Senior, hands-on IC