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.
This position is responsible for handling escalated calls, quality call monitoring, serving as a Principal reviewer and completing Best Interest Profile supervisory reviews for the Wealth Management / Premier Brokerage team.
In partnership with the leadership team, this position is responsible for coaching associates and improving the wealth management conversations, and ensuring that each element of the team environment is participant focused, regulatory compliant and embodies the Empower culture, vision, value and operating principles.
What You Will Do:
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
Coordinates and submit requests for research and follows up to ensure complete resolution as needed after the initial call
Partner with Supervisory managers to resolve exceptions in a timely manner.
Provides on-going coaching to associates on cross selling, wealth management, tax exempt strategies to new and existing representatives to develop a well-rounded wealth management conversation
Coordinates the distribution and resolution of service requests (SR), to ensure completion in a timely manner
Provides input to managers regarding quality of calls, issues identified, and recommend training for associates
Identify trends from quality concerns, escalations, exceptions and reviewing daily call statistics; recommends solutions to management
Responsible for call monitoring to ensure service excellence
Responsible for completing all necessary elements of Best Interest Profile Supervisory reviews
Support the leadership team with resource development for job aids, new hire training, new product training, metrics, etc.
As a subject matter expert for team, develop training materials such as job aids, training manuals in partnership with management and the EPW training team
Responsible for completing the fraud verification process for distributions over the specified amount per policy to ensure second level verification prior to distribution
Address questions or concerns in relation to participant accounts in accordance with FINRA / SEC guidelines, including research for customer calls where the customer believes a commitment was made to them and that commitment is outside guidelines
Respond to managerial feedback, and attend meetings and training sessions
Coach, mentor and cross train all employees
Partner with Supervisory Managers to help them resolve exceptions in a timely manner
Responsible for outbound calls as required by business needs
Handles client escalated issues and responsible for resolution
Supports associates and managers in timely solutions to complex, escalated issues
Provides training and coaching to associates
Serves as a Principle on staff
Must be available to work during the hours of 7am-7pm
What You Will Bring
Bachelors Degree or equivalent experience in financial services
FINRA Series 7, 63, 65 and 24 registrations required
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…