Lead Associate – Financial Wellness Planning & Advisory Services

Empower

. Handle complex escalated participant calls and research issues .

Posted 9/23/2026full-timeRemote • United StatesSenior💰 $65,600 - $92,675 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in wealth management, regulatory compliance, and data analysis, with a strong ability to coach and develop associates. Proficient in utilizing reporting tools to drive performance metrics and insights.

Highest-signal resume keywords

FINRA Series 7 RegistrationFINRA Series 24 RegistrationWealth Management ExperienceData Analytics ExperienceCoaching and Training Skills

ATS Keywords

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Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Data AnalysisPerformance Metrics DevelopmentFraud VerificationCall MonitoringService Quality Evaluation

Soft Skills

DependabilitySound JudgmentCoachingMentoring

Tools & Technologies

Reporting ToolsAnalytical Tools

Certifications & Qualifications

FINRA Series 63 RegistrationFINRA Series 65 RegistrationFINRA Fingerprinting

Industry Keywords

Wealth ManagementTax-Exempt StrategiesFINRA GuidelinesBrokerage TradingClient Issue Resolution

About the role

Key responsibilities & impact

Handle complex escalated participant calls and research issues
Coordinate timely resolutions with Supervisory Managers
Coordinate research requests and service-request distribution through completion
Monitor calls for service quality, regulatory compliance, and coaching opportunities
Coach associates on cross-selling, wealth management, and tax-exempt strategies
Analyze call statistics, quality results, escalations, exceptions, service requests, and operational data
Develop and communicate data-driven insights and recommendations to leadership
Use reporting and analytical tools to evaluate performance metrics
Provide managers with feedback on call quality, identified issues, and training opportunities
Complete Best Interest Profile supervisory reviews
Support development of job aids, new-hire training, new-product training, performance metrics, and other resources
Develop training materials, job aids, and training manuals
Complete fraud verification for distributions exceeding policy thresholds
Research and address participant account questions in accordance with FINRA and SEC guidelines
Coach, mentor, train, and cross-train associates
Make outbound calls as required by business needs
Serve as a Principal on staff
Attend required meetings and training sessions and respond to managerial feedback

Requirements

What you’ll need

Bachelor's Degree or equivalent experience in financial services
FINRA Series 7, 24, 63, and 65 registrations required
FINRA Series 9/10 may be accepted in lieu of Series 24
FINRA fingerprinting required
Five years of wealth management experience
Applicants must be authorized to work for any employer in the U.S.; no employment visa sponsorship or takeover of sponsorship, including CPT/OPT
Reliable high-speed internet with a wired connection and a minimally disruptive home workspace
Internet service must be fiber, cable or DSL
Brokerage trading and trade approval experience preferred
Analyst or data analytics experience preferred
Experience developing reports, dashboards, metrics, or data-driven recommendations preferred
Experience using reporting and analytical tools preferred
Demonstrated ability to handle and resolve escalated client issues
Deep knowledge of wealth management and tax-exempt sales strategies
Ability to coach and train associates and develop job-related resources
Dependability and sound judgment

Benefits

Comp & perks

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, and a broad investment lineup
Tuition reimbursement up to $5,250/year
Business-casual environment that includes the option to wear jeans
Generous paid time off upon hire – including a paid time off program plus 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) open to all
Flexible work environment
Other necessary computer equipment provided
Potential participation in a bonus program for non-sales positions