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
Participant-focused, regulatory-compliant wealth management conversations and service resolutions
Domain
Financial services / Wealth Management
Deliverable
client delivery
Required skills
FINRA Series 7, 63, 65, 24; wealth management experience; tax-exempt sales strategies; fraud verification; coaching and training
Preferred skills
brokerage trading and trade approval experience
Technologies
FINRA licensing systems
Responsibilities
Handle complex escalated calls and resolve participant issues; conduct quality call monitoring and supervisory reviews; coach associates on wealth management and cross-selling; develop training materials and job aids; verify fraud for large distributions; identify trends from quality data and recommend solutions.
Seniority
Senior, hands-on IC