Senior Manager, Retirement Strategy Consultation – RPAT

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 Senior Manager on the Retirement Plan Advisory Team (RPAT) is a dual-licensed broker-dealer and advisory role responsible for driving team performance and participant engagement through retirement readiness reviews and fiduciary advice. This position focuses on achieving business goals, managing high-performing teams, and adhering to compliance standards. 

The Senior Manager will supervise account openings for taxable accounts, brokerage IRAs, and fiduciary contract approvals, ensuring all activities align with Empower Advisory Group’s (EAG) goals. 

What You Will Do:

Leadership & Strategy

• Lead high-performing advisory teams to achieve customer satisfaction and business goals.
• Develop and implement strategies to improve advice adoption and customer retention.
• Set and monitor team performance targets, including activities, call quality, and advice acceptance rates.
• Collaborate on staffing plans and manage associate retention and satisfaction.

Compliance & Supervision

• Perform supervisory duties, including approving fiduciary advice and suitability of account activities.
• Ensure adherence to FINRA regulations and internal compliance standards through regular audits and quality checks.
• Supervise Empower Retail managed platforms and live trade monitoring as needed.

Coaching & Development

• Train and coach dual-registered representatives on general securities and retirement planning.
• Provide regular performance feedback, develop improvement plans, and conduct team meetings.
• Recruit, onboard, and manage talent, including addressing performance issues as necessary.

Operational Excellence

• Identify and resolve escalated client inquiries through detailed research and resolution strategies.
• Partner with internal stakeholders on special projects to meet SLA requirements.
• Contribute to the development of campaigns and phone scripting to enhance service delivery.

What You Will Bring:

• Bachelor’s degree or equivalent experience.
• FINRA Series 7, 24, and 66 (or 63 and 65) registrations.
• Minimum 2 years of experience in financial services.

What Will Set You Apart:

• 5+ years in the securities industry.
• 2+ years of management experience.
• CFP certification.
• Leadership and team management.
• Expertise in supervising dual-registered representatives.
• Knowledge of financial planning and compliance requirements.

Additional Information:

• This position can be done remotely.
• Business travel as needed.
• Office-based role using standard office equipment.

This job operates in a professional office environment. This role routinely uses standard office equipment such as but not limited to; computers, phones, photocopiers, filing cabinets and fax machines. While performing the duties of this job, the employee is regularly required to talk or hear. Many duties will be done while sitting at a desk and working on a computer. The employee frequently is required to stand; walk; use hands to finger, handle or feel; and reach with hands and arms.

This job description is not intended to be an exhaustive list of all duties, responsibilities and qualifications of the job.  The employer has the right to revise this job description at any time.   You will be evaluated in part based on your performance of the responsibilities and/or tasks listed in this job description.   You may be required to perform other duties that are not included on this job description.  The job description is not a contract for employment, and either you or the employer may terminate employment at any time, for any reason.

***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.***

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