PanAgora Asset Management · 16 hours ago
Lead Associate - Financial Wellness Planning & Advisory Services
United States
Full-time
Remote
Mid, Senior Level
$66K/yr - $93K/yr
5+ years expEmpower Retirement is focused on transforming financial lives and providing a flexible work environment. The Lead Financial Wellness Planning and Advisory Services Associate is responsible for handling escalated calls, coaching associates, and ensuring compliance with regulatory standards while enhancing wealth management conversations.
FinanceFinancial Services
No H1B
Responsibilities
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
Coordinate and submit requests for research and follow up to ensure complete resolution as needed after the initial call
Partner with supervisory managers to resolve exceptions in a timely manner
Provide on-going coaching to EAG associates on cross selling, wealth management, and tax-exempt strategies to new and existing representatives to develop a well-rounded wealth management conversation
Coordinate the distribution and resolution of service requests (SR), to ensure completion in a timely manner
Provide 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; recommend 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 and training manuals in partnership with management and the RSG 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 attending meetings and training sessions
Coach, mentor, and cross train all employees
Partner with supervisory managers to help them resolve exceptions in a timely manner
Handle client escalated issues; responsible for resolution
Qualification
Required
Bachelor's Degree or equivalent experience in financial services
FINRA Series 7, 24, 63, and 65 registrations required within corporate-established timelines
FINRA fingerprinting required
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
Preferred
Five years of wealth management experience preferred
Experience in brokerage trading and trade approval preferred
Experience in stock plan services strongly preferred
Benefits
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.
Company
PanAgora Asset Management
PanAgora Asset Management is a quantitative investment manager whose proprietary approach is designed to capitalize on inefficiencies across market cycles and to deliver relative and absolute returns through distinct and innovative equity, multi-asset and risk premia strategies.
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Eric Hevering Sorensen
CEO
Recent News
2025-10-31
2025-08-14
2025-07-04
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