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Lead Workplace Planning & Stock Plan Participants Services (Wealth Management)
65 600 - 92 675$
Job description
Text:
TL;DR
Lead Workplace Planning & Stock Plan Participants Services (Wealth Management): Handling escalated participant calls, supervisory reviews, quality monitoring, and coaching for a multi-site investment service team with an accent on regulatory compliance, wealth management conversations, and service resolution. Focus on resolving complex participant issues, reviewing Best Interest Profiles, developing training resources, and applying FINRA/SEC guidelines to brokerage and retirement account support.
Location: Remote - Nationwide within the United States. Applicants must be authorized to work for any employer in the U.S.; visa sponsorship, including CPT/OPT sponsorship, is not available.
Base salary: $65,600–$92,675 per year, with eligibility for applicable bonus or sales incentive programs.
Company
provides financial services focused on helping customers achieve financial freedom through workplace planning, investment services, and retirement solutions.
What you will do
- Handle complex escalated participant calls, research issues, coordinate follow-up, and deliver timely resolutions.
- Partner with supervisory managers to resolve exceptions, service requests, and client escalations.
- Coach associates on cross-selling, wealth management conversations, and tax-exempt strategies.
- Monitor calls, complete Best Interest Profile supervisory reviews, and identify quality or compliance trends.
- Develop job aids, training manuals, onboarding materials, product training, and other team resources.
- Complete fraud verification for qualifying distributions and address participant account questions under FINRA and SEC guidelines.
Requirements
- Bachelor’s degree or equivalent financial services experience.
- Five years of wealth management experience.
- FINRA Series 7, 24, 63, and 65 registrations.
- FINRA fingerprinting.
- Demonstrated ability to handle escalated client issues with sound judgment and reliability.
- Deep knowledge of wealth management and tax-exempt sales strategies, with the ability to coach and develop associates.
Nice to have
- Brokerage trading and trade approval experience.
- Experience developing job aids, training materials, or related resources.
Culture & Benefits
- Flexible work environment with support for career mobility, inclusion, well-being, and work-life balance.
- Medical, dental, vision, and life insurance.
- 401(k) plan with company matching contributions of up to 6% and additional financial advisory services.
- Tuition reimbursement of up to $5,250 per year.
- Paid time off upon hire, company holidays, floating holidays, paid volunteer time, and leave programs.
- Business Resource Groups supporting inclusion and collaboration.