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Securities Support Associate
Thrivent
Gastonia, USA
Full-time
Mid · 3+ years experience
Onsite
USD 60000-80000 yearly / year
Discovered 1 weeks ago
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Position Roles/Responsibilities/Accountabilities
- Facilitate brokerage account openings, onboarding, and account transfers while ensuring all documentation is complete, accurate, and compliant with firm and regulatory requirements.
- Process account servicing transactions, including beneficiary updates, ownership changes, contact information updates, trust/entity account changes, retirement account transactions, and asset movement requests.
- Support brokerage transactions such as distributions, deposits, stock gifts, and other account-related requests.
- Prepare for upcoming advisor and client appointments by ensuring account information and required documentation are in order.
- Serve as the primary point of contact for operational inquiries, proactively communicating account status, outstanding items, and service updates. Resolve account and operational issues by partnering with advisors, clients, custodians, and home office teams.
- Monitor workflows, maintain accurate records, and support compliance, audit, and documentation requirements.
- Deliver exceptional advisor and client service while providing backup support to ensure business continuity.
- Identify process improvement opportunities, document best practices, support team training, and contribute to initiatives that enhance the advisor and client experience.
Position Qualifications
- Must hold FINRA Series 7 and 66 licenses (or Series 7, 63, and 65 combination) and maintain registration in all states where support is provided for Your Journey Financial Advisors.
- 3+ years of experience in brokerage, wealth management, RIA, or financial services operations.
- Strong knowledge of brokerage account servicing, investment operations, and advisory account structures.
- Demonstrated ability to manage multiple priorities, meet deadlines, and maintain a high level of accuracy and attention to detail.
- Strong technical aptitude, including proficiency with business systems, technology platforms, and operational tools.
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