Operations Specialist - Financial Advisory Ops & Compliance

thrivent; Minneapolis (MN); On-site; USD 55,000 - 75,000; Full time

Job summary

Thrivent is seeking an Operations Specialist to support TAN Advisors and clients with daily operational tasks, ensuring compliant processing of new accounts and financial plans.

You will work with Advisor teams, handle account setups in Black Diamond and Orion, review payments via Advice-Pay, and help improve processes across TAN and Thrivent distribution.

The role requires strong attention to detail, excellent communication, and the ability to thrive in a fast-paced environment.

Qualifications

• Four-year degree or minimum of five years financial services related work experience.
• Passion for Registered Investment Advisor operational components.
• Working knowledge of third-party portfolio management and CRM solutions.
• Familiarity with industry leading technology toolsets.
• Great interpersonal skills with financial advisors, office staff and internal operations experts.
• Proven ability to support advisor growth that aligns with regulatory compliance standards and company policies.
• Process improvement mindset; Continuous Improvement experience preferred.
• Strong Microsoft tools skills - Excel, Word, PowerPoint.

Responsibilities

• Review new account and financial plan paperwork, and custodian account setup to decide if submission is in good order.
• Administer new account setup and ongoing maintenance of managed accounts in Black Diamond and Orion.
• Utilize Advice-Pay to review financial plan payments, agreements, and deliverables for in good order submission.
• Respond promptly to emailed inquiries from TAN Advisory Teams about TAN Operations, Technology, and Compliance processes.
• Partner with Sr. Operations Specialist to learn and administer Advisory Services.
• Administer Home Office, Advisor, Field Staff, and Client access to TAN systems, ensuring compliance with policies and regulations on data privacy.
• Work independently to keep service level standards and deadlines.
• Engage in cross-organizational improvement projects for TAN and Thrivent distribution.
• Apply Continuous Improvement principles to improve TAN Advisory Team experience.
• Build partnerships that deliver consistent advisor and client experiences and issue resolution.
• Consult with corporate partners to uncover solutions to TAN ad hoc business issues.

Education

Four-year degree

FINRA Series 7 & 66

Tools

CRM systems

Portfolio management software

Microsoft Office

Job description

Thrivent is seeking an Operations Specialist to support TAN Advisors and clients with daily operational tasks, ensuring compliant processing of new accounts and financial plans.

You will work with Advisor teams, handle account setups in Black Diamond and Orion, review payments via Advice-Pay, and help improve processes across TAN and Thrivent distribution.

The role requires strong attention to detail, excellent communication, and the ability to thrive in a fast-paced environment.