Securities Support 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

This position provides securities licensed administrative support to Your Journey Financial Advisors. This position serves as a resource to Financial Advisors and client/members in handling, researching and communicating inquiries regarding their accounts and supports the daily brokerage operations of the practice, including, but not limited to: new account processing, account servicing, operational support, advisor/client support, process improvement, utilizing Thrivent Financial computer systems and programs in support of client relations, supporting securities related tasks, and other administrative tasks as assigned. The Securities Support Associate reports to and is employed by Your Journey Financial Advisors.

This is a full-time in-person position sitting out of either the Gastonia or Hickory office. Compensation is $60,000-80,000 annually dependent upon active licensure and experience. Benefits include health insurance, 401K plus match, PTO, holiday pay, and annual bonus eligibility.

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.
• Excellent written and verbal communication skills with a client-focused approach to service, responsiveness, and problem-solving. Preferred
• Experience with Envestnet, brokerage trading platforms, and related technology solutions. Experience supporting financial advisors and high-net-worth clients. Familiarity with Thrivent operational systems, processes, and service models.

As part of Your Journey Financial Advisors' recruiting/hiring/contracting process, a verification of a candidate's background will be made to complete the process. Fingerprints will be required as part of FINRA registration process for submission to the Federal Bureau of Investigation for review against nationwide fingerprint records.

Pay Transparency

All persons with securities registrations are subject to TIMI’s Outside Securities Accounts Policy which requires all outside brokerage accounts to be maintained at one of the firms designated by TIMI.

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 [e-mail] or call 800-847-4836 and request Human Resources.