Lead Associate - Financial Wellness Planning & Advisory Services (Finance)

TL;DR

Lead Associate - Financial Wellness Planning & Advisory Services (Finance): Managing escalated calls and quality monitoring for wealth management services with an accent on regulatory compliance and associate coaching. Focus on conducting Best Interest Profile supervisory reviews and ensuring strict adherence to FINRA/SEC guidelines.

Location: Remote (USA). Applicants must be authorized to work for any employer in the U.S.

Salary: $65,600 - $92,675

Company

A leading financial services company dedicated to transforming financial lives through a flexible work environment and a culture of internal mobility.

What you will do

• Handle and resolve complex escalated participant calls and coordinate follow-up research to ensure complete resolution.
• Provide ongoing coaching to associates on wealth management, cross-selling, and tax-exempt strategies.
• Conduct call monitoring and complete Best Interest Profile supervisory reviews to ensure service excellence.
• Develop training materials, job aids, and manuals as a subject matter expert in partnership with management.
• Perform fraud verification processes for distributions according to company policy.
• Ensure all account activities and commitments align with FINRA and SEC guidelines.

Requirements

• Bachelor's Degree or equivalent experience in financial services.
• FINRA Series 7, 24, 63, and 65 registrations required.
• Must be authorized to work in the U.S. (no sponsorship available for CPT/OPT).
• FINRA fingerprinting required.
• Demonstrated ability in effectively handling client escalated issues.

Nice to have

• Five years of wealth management experience.
• Experience in brokerage trading and trade approval.
• Experience in stock plan services.

Culture & Benefits

• 401(k) plan with company matching contributions up to 6%.
• Comprehensive medical, dental, vision, and life insurance.
• Tuition reimbursement up to $5,250 per year.
• Generous paid time off, including 10 company holidays and 3 floating holidays.
• Paid parental leave and short/long-term disability programs.
• 16 hours of paid volunteer time per calendar year.