Associate - West Advisor Group

Thrivent; Sacramento (CA); On-site; USD 65,000 - 90,000; Full time

Job summary

Thrivent Financial for Lutherans seeks a licensed financial and non-financial support professional to assist the sponsoring financial advisor in California. The role spans securities, investment advisory products, and life/health/annuities, working with members and their families to develop integrated financial programs.

You will help with business and marketing plans, prospecting, case preparation, and client meetings, while maintaining confidentiality and regulatory compliance.

Qualifications

• Securities licensed (series 7 & 66) or willingness to obtain within 120 days of hire/contract.
• Insurance licensed/appointed for sale of life/health and variable products.
• Securities registered/insurance licensed/appointed in all states where support work is performed.
• 2+ years customer service experience preferred.
• Ability to handle multiple tasks with interruptions while maintaining quality.
• Ability to maintain confidentiality of sensitive information.
• Basic understanding of Thrivent Financial and its products.
• Previous administrative/secretarial experience desired.

Responsibilities

• Handle confidential member communications and respond to ensure high customer satisfaction.
• Co-present product seminars/workshops as needed.
• Identify fund selection criteria and track against WRAP indexes.
• Participate in business planning for the Practice.
• Advise members on suitable financial products and investment services.
• Open and complete product applications.
• Conduct due diligence to support securities recommendations.
• Obtain member/customer financial and suitability information.
• Enter securities trade orders as requested.
• Explain insurance coverage and analyze policies.
• Assist financial representatives in preparing and following up for member meetings.
• Collaborate to assist clients with product changes.
• Support marketing services including direct-mail and seminars.
• Additional responsibilities may be assigned per licensure and business needs.

Skills

Customer service

Communication

Teamwork

Planning/Organizing

Analytical thinking

Interpersonal skills

Adaptability

Job description

Organization/Business Overview:The sponsoring financial advisor is an independent financial services practice of Thrivent Financial for Lutherans. We take a broad-based approach to helping our members/customers achieve multiple financial goals. The sponsoring financial advisor helps our members analyze their current situation, develop in-depth financial programs, and help them implement an integrated financial strategy.Thrivent is a membership-owned fraternal organization, as well as a holistic financial services organization, dedicated to serving the unique needs of our clients. As the nation's largest fraternal benefit society, we're here solely to help others. We help every day through the financial solutions we offer, the member activities we support, and the resources we provide to the Lutheran community and nonprofit organizations. Thrivent Investment Management Inc. is a FINRA and SIPC member and a wholly owned subsidiary of Thrivent Financial for Lutherans.

Position summary:

Position summary:This position provides licensed financial and non-financial support to The sponsoring financial advisor and will serve as a resource to Thrivent Financial for Lutherans Financial Advisors. Individuals in this position will be focused on securities and investment advisory products and services as well as fixed and variable life, health, and annuities products and together with the financial Advisors (products offered and advice given depends on level of licensure), serve the financial and non-financial needs of Thrivent members, customers, and their families. Responsibilities may include working with a financial representative to develop and implement business and marketing plans to acquire, cultivate, and retain members, prospecting and marketing, case and proposal preparation, referral generation, and building a sense of "community" with and among members and prospects. The Associate reports to and is employed/contracted by the financial representative. Thrivent Investment Management Inc. is the sponsor for FINRA registration and Thrivent Financial for Lutherans is the sponsor for insurance licensure.

Position Roles/Responsibilities/Accountabilities

• Handle sensitive communications with members/customers, which may include highly confidential information and effectively respond through verbal and written communications to ensure a high level of customer satisfaction
• Facilitate and/or co-present product specific seminars and/or workshops as necessary
• Identify criteria for fund selection and track against indexes, specifically for WRAP accounts
• Participate in business planning for the Practice as needed
• Counsel and advise prospective and current members/customers on suitable financial products and investment advisory services
• Open and complete product applications
• Conducting substantive research or information gathering that will be used with making suitable securities product recommendations or providing appropriate investment advice (e.g. conducting due diligence, etc.)
• Obtain member/customer financial and/or suitability information
• Accepting and/or entering securities trade orders from customers, including unsolicited trade orders
• Explain, discuss or interpret insurance coverage; analyze exposures or policies; provide recommendations
• Issue certificates of insurance, endorsements, binders, commitments, or insurance contracts
• Assist financial representatives in the preparation and follow up for the member/customer meetings
• Collaborate with financial representatives to assist client with product changes
• Participate and drive marketing services including direct-mail, fraternal activities, seminars, meetings
• Additional responsibilities may be assigned in accordance with licensure and business needs

Position Qualifications

• Associates can be fully licensed, securities licensed, or insurance licensed. Depending on role, the associate must be:
• Securities registered (series 7 & 66 or 6 & 63) or be willing to do so within 120 days of hire/contract.
• Appropriately insurance licensed/appointed for sale of all life/health and variable products
• Must be securities registered/insurance licensed/appointed in all states in which the candidate will be doing support work for the sponsoring financial advisor. Must be willing to complete appropriate state training in order to sell Long Term Care if this is determined to be a part of the position or support needs on the sponsoring financial representative.
• Demonstrated customer service orientation/experience, 2+ years preferred
• Ability to handle multiple tasks and maintain a high quality of work while experiencing frequent interruptions
• Ability to maintain integrity of sensitive/confidential information
• Basic understanding of the sponsoring financial advisor our products and services, and Thrivent Financial
• Previous administrative/secretarial experience desired

Competencies

• Planning/Organizing
• Analytical thinker
• Customer Focus
• Communication
• Interpersonal Skills
• Teamwork and Collaboration
• Adaptability/Flexibility

External/Internal Dependencies

• Must be able to work with all roles of the sponsoring financial advisor
• Must be able to represent the organization in work with external clients
• Must be able to cultivate and maintain relationships with outside organizations

Pay Transparency

Thrivent provides Equal Employment Opportunity (EEO) without regard to race, religion, color, sex, gender identity, sexual orientation, pregnancy, national origin, age, disability, marital status, citizenship status, military or veteran status, genetic information, or any other status protected by applicable local, state, or federal law. This policy applies to all employees and job applicants. Thrivent is committed to providing reasonable accommodation to individuals with disabilities. If you need a reasonable accommodation, please let us know by sending an email to or call and request Human Resources.

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