Lead Associate – Wealth Management, Premier Brokerage

Empower

. Handle and respond to complex escalated calls, research situations, resolve issues, and coach associates .

Posted 10/27/2026full-timeRemote • United StatesSenior💰 $65,600 - $92,675 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in wealth management, tax-exempt strategies, and client issue resolution while effectively coaching and developing associates. Proficient in handling escalated calls and ensuring compliance with FINRA/SEC guidelines.

Highest-signal resume keywords

FINRA Series 7 RegistrationFINRA Series 24 RegistrationFINRA Series 63 RegistrationFINRA Series 65 RegistrationWealth Management Experience

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Brokerage TradingTrade ApprovalClient Escalation HandlingTax-Exempt Sales StrategiesJob Aid DevelopmentTraining Material CreationFraud VerificationCall MonitoringQuality AssuranceResearch Coordination

Soft Skills

CoachingMentoringDependabilityGood JudgmentCommunication

Certifications & Qualifications

FINRA Fingerprinting

Industry Keywords

Financial ServicesWealth ManagementSEC GuidelinesClient Service ExcellenceEscalated Issues

About the role

Key responsibilities & impact

Handle and respond to complex escalated calls, research situations, resolve issues, and coach associates
Coordinate research requests and follow up to ensure complete resolution
Partner with Supervisory Managers to resolve exceptions promptly
Coach associates on cross selling, wealth management, and tax-exempt strategies
Coordinate distribution and resolution of service requests
Provide managers with input regarding call quality, identified issues, and recommended training
Identify trends from quality concerns, escalations, exceptions, and daily call statistics; recommend solutions
Monitor calls to ensure service excellence
Complete all necessary elements of Best Interest Profile Supervisory reviews
Support resource development for job aids, new-hire training, new-product training, and metrics
Develop training materials such as job aids and training manuals with management and the EPW training team
Complete fraud verification for distributions over the specified policy amount
Address participant account questions in accordance with FINRA/SEC guidelines
Respond to managerial feedback and attend meetings and training sessions
Coach, mentor, and cross-train employees
Make outbound calls as required by business needs
Handle client escalated issues and support associates and managers with complex escalated issues
Serve as a Principal on staff

Requirements

What you’ll need

Bachelors Degree or equivalent experience in financial services
FINRA Series 7, 24, 63, and 65 registrations required within corporate-established timelines (fully licensed strongly preferred)
FINRA fingerprinting required
Experience in brokerage trading and trade approval
Five Years of Wealth management experience
Demonstrated ability in effectively handling client escalated issues
Dependable with good judgment
Deep knowledge wealth management and tax exempt sales strategies
Ability to coach, train and develop job related resources
Applicants must be authorized to work for any employer in the U.S.; sponsorship or takeover of employment visa sponsorship is unavailable, including CPT/OPT
Must be available to work during the hours of 7am-7pm
Reliable high-speed internet with a wired connection and a suitable home workspace for remote work

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) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.
Flexible work environment
Remote work arrangement
Non-sales positions have the opportunity to participate in a bonus program