Lead Associate – Private Client Group

🔥 0 minutes ago

🇺🇸 United States – Remote

💵 $79.4k - $112.2k / year

⏰ Full Time

🟠 Senior

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Empower

WebsiteLinkedInAll Job Openings

10,000+ employees

💸 Finance

💳 Fintech

👥 B2C

Finance • Fintech • B2C

Empower is a leading provider of financial services focused on helping individuals and organizations achieve financial freedom through retirement planning and investment management. Serving over 19 million Americans, Empower offers a comprehensive suite of finance-related services, including smart planning and investment advice, and tools like the Empower Personal Dashboard™ for a complete financial view. The company is renowned as a top retirement plan provider and works closely with personal investors, workplace plan savers, plan sponsors, and financial professionals. Empower is also recognized for initiatives in Diversity, Equity, Inclusion, and has a social commitment that bolsters community impact.

📋 Description

• Assist with onboarding and training new hires • Handle complex and escalated client calls, including research, coordination, and timely resolution with Supervisory Managers and cross-functional teams • Serve as a Principal on staff and complete Best Interest Profile supervisory reviews and other required supervisory functions • Conduct fraud verification processes and required second-level reviews • Address client account questions and concerns in accordance with FINRA and SEC guidelines • Conduct call monitoring and monthly call reviews • Provide ongoing coaching to associates and advisors • Identify trends from escalations, quality reviews, and exceptions and recommend process and training improvements • Develop and maintain job aids, training materials, and team communications with leadership • Act as a subject matter expert and provide ongoing team guidance and support • Complete outbound calls as required by business needs

🎯 Requirements

• FINRA Series 7, 24, 63, and 65/66 registrations required • FINRA fingerprinting required • 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 • Demonstrated ability to handle complex and escalated client issues • Proven ability to coach and train associates • Strong PC skills and ability to quickly learn internal systems • Independent, proactive, and solutions-oriented work ethic • Bachelor’s degree required; Business or Finance preferred, or equivalent experience in financial services

🏖️ Benefits

• Medical, dental, vision and life insurance • Retirement savings – 401(k) plan with generous company matching contributions (up to 6%) • Financial advisory services • Potential company discretionary contribution • Broad investment lineup • Tuition reimbursement up to $5,250/year • Business-casual environment with the option to wear jeans • Generous paid time off upon hire, including a paid time off program • Ten paid company holidays and three floating holidays each calendar year • Paid volunteer time — 16 hours per calendar year • Leave of absence programs, including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA) • Business Resource Groups (BRGs) • Non-sales positions have the opportunity to participate in a bonus program • Reliable high-speed internet, wired connection, and a suitable home workspace; necessary computer equipment provided