Lead Associate - Financial Wellness Planning & Advisory Services

Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them.

Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself.

The Lead Financial Wellness Planning and Advisory Services Associate is responsible for handling escalated calls, quality call monitoring, serving as a Principal reviewer and completing Best Interest Profile supervisory reviews for the multi-site Investment Service team. In partnership with leadership, the Lead Associate coaches associates to strengthen wealth management conversations and uses data and trend analysis to identify opportunities to improve service quality, associate performance, and operational outcomes. The role helps ensure a participant-focused, regulatory-compliant environment that reflects Empower’s culture, vision, values, and operating principles.

• →Responsible for handling and responding to complex escalated calls including, working with the participant, researching the situation, timely resolution in partnership with Supervisory Managers, as well as related coaching with associates
• →Handle complex escalated participant calls, research issues, coordinate timely resolutions with Supervisory Managers, and provide related coaching to associates.
• →Coordinate research requests and follow up to ensure complete resolution of participant issues.
• →Partner with Supervisory Managers to resolve exceptions and complex service issues in a timely manner.
• →Monitor calls for service quality, regulatory compliance, and opportunities for associate coaching and development.
• →Coach associates on cross-selling, wealth management, and tax-exempt strategies to strengthen participant conversations.
• →Analyze call statistics, quality results, escalations, exceptions, service requests, and other operational data to identify trends, patterns, and opportunities for improvement.
• →Develop and communicate data-driven insights and recommendations to leadership to support operational, service quality, and associate performance improvements.
• →Use reporting and analytical tools to evaluate performance metrics and translate findings into actionable recommendations.
• →Coordinate the distribution and resolution of service requests to support timely completion.
• →Provide managers with feedback on call quality, identified issues, and associate training opportunities.
• →Complete all required elements of Best Interest Profile supervisory reviews.
• →Support leadership with the development of job aids, new-hire training, new-product training, performance metrics, and other resources.
• →Serve as a subject matter expert and develop training materials, including job aids and training manuals, in partnership with management and training teams.
• →Complete fraud verification for distributions exceeding established policy thresholds, including required second-level verification prior to distribution.
• →Research and address participant account questions and concerns in accordance with FINRA and SEC guidelines, including situations involving disputed commitments.
• →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 appropriately to managerial feedback.

• →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
• →Experience in brokerage trading and trade approval preferred
• →Five years of wealth management experience

• Analyst or data analytics experience, including experience analyzing operational or performance data to identify trends and support business decisions.
• Experience developing reports, dashboards, metrics, or data-driven recommendations for business leaders.
• Experience using reporting and analytical tools to evaluate business and performance data.
• Experience with brokerage trading and trade approval.
• Demonstrated ability to effectively 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.

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***Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment visa at this time, including CPT/OPT.***