Lead Associate - Financial Wellness Planning & Advisory Services at Empower

Lead Financial Wellness Planning and Advisory Services Associate

Transform financial lives by joining Empower, where we foster a flexible and inclusive environment that celebrates internal mobility and employee purpose. As a Lead Financial Wellness Planning and Advisory Services Associate, you will be responsible for managing escalated calls, overseeing call quality monitoring, acting as a Principal reviewer, and conducting supervisory reviews for the multi-site Investment Service team.

In partnership with leadership, you will coach associates to enhance wealth management conversations, utilizing data and trend analysis to improve service quality, associate performance, and overall operational outcomes. Your role is crucial in ensuring a participant-focused, regulatory compliant environment that aligns with Empower's culture, vision, and values.

What You Will Do

• Handle and respond to complex escalated participant calls, conducting thorough research and coordinating timely resolutions with Supervisory Managers.
• Monitor calls to ensure service quality and regulatory compliance while identifying opportunities for associate coaching and development.
• Coach associates on wealth management, cross-selling, and tax-exempt strategies to deepen participant engagement.
• Analyze call statistics, service requests, and operational data to pinpoint trends, patterns, and areas for operational improvement.
• Develop and present data-driven insights and recommendations to leadership to drive service quality and performance gains.
• Manage the distribution and resolution of service requests to ensure timely completion.
• Provide managers with feedback on call quality, noted issues, and necessary associate training needs.
• Complete all required elements of Best Interest Profile supervisory reviews.
• Serve as a subject matter expert, developing training materials, job aids, and manuals in collaboration with management and training teams.
• Perform fraud verification for distributions exceeding policy thresholds, including required second level verification.
• Research and address participant account concerns strictly adhering to FINRA and SEC guidelines, including disputed commitments.
• Coach, mentor, train, and cross train associates.
• Make necessary outbound calls based on business requirements.
• Serve as a Principal on staff.
• Attend all required meetings and training sessions, responding appropriately to managerial feedback.

What You Will Bring

• A Bachelor's Degree or equivalent experience in financial services.
• Required registrations: FINRA Series 7, 24, 63, and 65. FINRA Series 9/10 may be accepted instead of Series 24.
• Completion of FINRA fingerprinting is mandatory.
• Experience in brokerage trading and trade approval is preferred.
• A minimum of five years of experience in wealth management is required.

What Will Set You Apart

• Analyst or data analytics experience, including analyzing operational or performance data to guide business decisions.
• Proven experience developing reports, dashboards, metrics, or data-driven recommendations for executive leadership.
• Demonstrated skill using analytical tools to evaluate business and performance data.
• Familiarity with brokerage trading and trade approval processes.
• Proven ability to effectively resolve escalated client issues.
• In-depth knowledge of wealth management and tax exempt sales strategies.
• A talent for coaching, training associates, and developing relevant job resources.
• Dependability and sound professional judgment.

Benefits and Compensation

We offer an array of diverse and inclusive benefits regardless of your career stage. We believe that supporting a healthy, balanced life leads to peak work performance.

• Medical, dental, vision, and life insurance coverage.
• Retirement savings including a 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential discretionary company contribution, and a broad investment lineup.
• Tuition reimbursement up to $5,250 per year.
• A business casual work environment that includes the option to wear jeans.
• Generous paid time off upon hire, including a full PTO program plus ten paid company holidays and three floating holidays annually.
• Paid volunteer time of 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).
• Participation in Business Resource Groups (BRGs) to facilitate inclusion and collaboration.

Base Salary Range: $65,600.00 - $92,675.00. Non-sales positions may qualify for a bonus program. Sales positions are eligible for sales incentives, meaning total compensation can vary based on performance. Actual compensation will vary based on geographic location, experience, licensure, and skill level and will be finalized upon offer.

Equal opportunity employer. We value diversity and encourage all qualified applicants to apply.

Work Environment Requirements

For remote and hybrid roles, candidates must provide reliable high-speed wired internet and a dedicated workspace with minimal disruption. Reliable connectivity via fiber, cable, or DSL is mandatory. Necessary computer equipment will be provided. Should an adequate home workspace or internet connection not be available, office attendance may be required.