Brokerage Operations & Client Services Associate

Thrivent; Gastonia (NC); On-site; USD 60,000 - 80,000; Full time

Benefits offered by this job

Health insurance

401K plus match

PTO and holiday pay

Annual bonus eligibility

Job summary

Thrivent is seeking a Securities Support Associate to join Your Journey Financial Advisors in Gastonia or Hickory, NC. This full-time, in-person role provides securities-licensed administrative support to advisors and clients, handling account inquiries, new account processing, and the daily brokerage operations.

The position requires FINRA licenses (7 and 66 or 7/63/65), 3+ years in brokerage/financial services, and strong communication and compliance knowledge.

Qualifications

• 3+ years of experience in brokerage, wealth management, or financial services operations.
• FINRA licenses and active registration in applicable states.
• Strong knowledge of brokerage account servicing and investment operations.
• Excellent written and verbal communication with a client focus.

Responsibilities

• Facilitate brokerage account openings, onboarding, and transfers while ensuring documentation is complete, accurate and compliant.
• Process account servicing transactions and updates such as beneficiary changes and ownership updates.
• Support brokerage transactions and distributions and other account-related requests.
• Prepare for advisor/client appointments with complete documentation.
• Serve as primary contact for operational inquiries and communicate account status and required items.
• Monitor workflows, maintain records, and support compliance and audit requirements.
• Provide backup support to ensure business continuity and service quality.
• Identify process improvements and contribute to best practices.

Skills

Attention to detail

Time management

Communication skills

Client-focused service

Problem-solving

Education

FINRA Series 7 & 66 licenses

Series 7, 63 & 65 licenses

Tools

Envestnet

Brokerage trading platforms

Thrivent systems

Job description

Thrivent is seeking a Securities Support Associate to join Your Journey Financial Advisors in Gastonia or Hickory, NC. This full-time, in-person role provides securities-licensed administrative support to advisors and clients, handling account inquiries, new account processing, and the daily brokerage operations.

The position requires FINRA licenses (7 and 66 or 7/63/65), 3+ years in brokerage/financial services, and strong communication and compliance knowledge.