Lead Investor Services Advisor Associate
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 Investor Services Advisor Associate is responsible for handling escalated calls, quality call monitoring, serving as a Principal reviewer and completing Best Interest Profile supervisory reviews for the Investment Service team. In partnership with the leadership team, this position is responsible for coaching associates and improving wealth management conversations, and ensuring that each element of the Investor Service team environment is participant focused, regulatory compliant and embodies the Empower culture, vision, value and operating principles.
What you will do
• Handle complex escalated calls by researching issues, collaborating with managers, and delivering timely, accurate resolutions
• Coordinate follow-up research and service requests to ensure full resolution of customer issues
• Partner with managers to address exceptions and improve overall service quality
• Provide ongoing coaching and feedback to associates on cross-selling, wealth management conversations, and service quality
• Support leadership with training development, job aids, and performance metrics to enhance team effectiveness
• Complete Best Interest Profile supervisory reviews in accordance with policy
• Perform fraud verification for distributions exceeding policy thresholds to ensure proper controls
• Address participant account inquiries in compliance with FINRA/SEC guidelines, including researching and resolving disputed commitments
• Make outbound calls as required to support business needs
• Serve as a Principal on staff
• Maintain availability for an 8-hour shift between 7:00 AM – 7:00 PM
What you will bring
• Bachelors degree or equivalent experience in financial services
• 5 years of wealth management experience
• Experience in brokerage trading and trade approval
• 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
• FINRA Series 7, 24, 63, and 65 registrations required
• FINRA fingerprinting required
• **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.***
What we offer you
We offer an array of diverse and inclusive benefits regardless of where you are in your career. We believe that providing our employees with the means to lead healthy balanced lives results in the best possible work performance.
• 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.
Base Salary Range
$65,600.00 - $92,675.00
The salary range above shows the typical minimum to maximum base salary range for this position in the location listed. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible f
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Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself.
The Lead Investor Services Advisor Associate is responsible for handling escalated calls, quality call monitoring, serving as a Principal reviewer and completing Best Interest Profile supervisory reviews for the Investment Service team. In partnership with the leadership team, this position is responsible for coaching associates and improving wealth management conversations, and ensuring that each element of the Investor Service team environment is participant focused, regulatory compliant and embodies the Empower culture, vision, value and operating principles.
What you will do
• Handle complex escalated calls by researching issues, collaborating with managers, and delivering timely, accurate resolutions
• Coordinate follow-up research and service requests to ensure full resolution of customer issues
• Partner with managers to address exceptions and improve overall service quality
• Provide ongoing coaching and feedback to associates on cross-selling, wealth management conversations, and service quality
• Support leadership with training development, job aids, and performance metrics to enhance team effectiveness
• Complete Best Interest Profile supervisory reviews in accordance with policy
• Perform fraud verification for distributions exceeding policy thresholds to ensure proper controls
• Address participant account inquiries in compliance with FINRA/SEC guidelines, including researching and resolving disputed commitments
• Make outbound calls as required to support business needs
• Serve as a Principal on staff
• Maintain availability for an 8-hour shift between 7:00 AM – 7:00 PM
What you will bring
• Bachelors degree or equivalent experience in financial services
• 5 years of wealth management experience
• Experience in brokerage trading and trade approval
• 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
• FINRA Series 7, 24, 63, and 65 registrations required
• FINRA fingerprinting required
• **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.***
What we offer you
We offer an array of diverse and inclusive benefits regardless of where you are in your career. We believe that providing our employees with the means to lead healthy balanced lives results in the best possible work performance.
• 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.
Base Salary Range
$65,600.00 - $92,675.00
The salary range above shows the typical minimum to maximum base salary range for this position in the location listed. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible f
Apply tot his job
Apply To this Job