Brokerage Operations & Securities Support Specialist

Thrivent Financial; Gastonia, Northern (NC, KY); Hybrid; USD 60,000 - 80,000; Full time

Benefits offered by this job

Health insurance

401K plus match

PTO

Holiday pay

Annual bonus eligibility

Job summary

Thrivent Financial is seeking a Securities Support Associate to provide licensed administrative support to Your Journey Financial Advisors in Gastonia or Hickory. The role handles account onboarding, servicing, and brokerage ops, ensuring compliance and accurate documentation, while supporting advisor and client inquiries.

Full-time, in-person, with compensation $60,000-80,000 depending on licensure and experience.

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.
• Strong technical aptitude with proficiency in business systems, technology platforms, and operational tools.

Responsibilities

• Facilitate brokerage account openings, onboarding, and account transfers while ensuring 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 advisor and client appointments by ensuring account information and required documentation are in order.
• Serve as primary point of contact for operational inquiries, communicating account status, outstanding items, and service updates.

Skills

Client-focused service

Strong communication

Attention to detail

Time management

Tools

Envestnet

Brokerage trading platforms

Job description

Thrivent Financial is seeking a Securities Support Associate to provide licensed administrative support to Your Journey Financial Advisors in Gastonia or Hickory. The role handles account onboarding, servicing, and brokerage ops, ensuring compliance and accurate documentation, while supporting advisor and client inquiries.

Full-time, in-person, with compensation $60,000-80,000 depending on licensure and experience.