Securities Support Associate

Shoreline Group is an independent financial services practice of Thrivent Financial. We take a broad-based approach to helping our clients achieve multiple financial goals. Shoreline Group helps our clients analyze their current situation develop in-depth financial programs and help them implement an integrated financial strategy.

Thrivent Financial is a faith-based not-for-profit financial services organization with approximately 2.6 million clients. As the nations largest fraternal benefit society were here solely to help others. We help every day through the financial solutions we offer the client activities we support and the resources we provide to the Christian community and nonprofit organizations. Thrivent Investment Management Inc. is a FINRA and SIPC member and a wholly owned subsidiary of Thrivent Financial.

Position summary:
This position provides securities-licensed administrative and client service support to Shoreline Group. The Securities Support Associate partners with Financial Advisors to deliver a responsive client experience complete securities-related activities within the scope of applicable registrations and support efficient daily practice operations. The position reports to and is employed by Shoreline Group.

This is an in-office position located at either the Madison or Burlington WI office. Hours of operation are 8 a.m. to 5 p.m. Monday to Friday. Benefits include: Medical Dental Vision Long-Term Disability Short-Term Disability Accidental Death & Dismemberment Life Insurance Simple IRA with employer match Holiday Pay and PTO. Compensation is $55000-$75000 dependent upon licensure and experience.

Position Roles/Responsibilities/Accountabilities

• Handles incoming telephone calls to and responds to requests for information
• Researches inquiries regarding client accounts
• Provides fund values and answers other securities (including if appropriately licensed variable insurance and annuities) product-related questions and/or questions related to investment advisory services
• Prepares or coordinates the preparation of routine correspondence reports and special projects
• Supports projects administration of various programs and processing functions as needed
• Updates the contact management system with client contact and preference information
• Assist FA in the preparation and follow up for the customer/member meetings
• Collaborate with FAs to assist clients to purchase sell hold or exchange securities products
• Verbal or written communications with prospective or existing customers regarding financial matters
• Conducting substantive research or information gathering that will be used with making securities product recommendations or providing investment advice (e.g. conducting due diligence etc.)
• Obtaining client financial and/or suitability information
• Accepting and/or entering securities trade orders from customers including unsolicited trade orders
• Manually enter information provided by the FA into electronic application systems and email lock sign or submit.
• Additional responsibilities may be assigned in accordance with licensure and business needs

Position Qualifications

• Previous administrative/secretarial experience desired
• Must be securities registered (i.e. 7/63/65 or 7/66).
• Must be securities registered in all states in which the candidate would be doing support work for Shoreline Group
• Demonstrated customer service orientation/experience 2 years preferred
• Strong technical computer aptitude and knowledge of business tools (e.g. Microsoft Word Excel PowerPoint) or ability to learn
• 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 our products services and Thrivent Financial

Competencies

• Planning/Organizing
• Client Focus

• Communication
• Interpersonal Skills
• Teamwork and Collaboration
• Adaptability/Flexibility

External/Internal Dependencies

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

As part of Shoreline Groups recruiting/hiring/contracting process a verification of a candidates background will be made to complete the hiring/contracting addition fingerprints will be taken for submission to the Federal Bureau of Investigation for review against nationwide fingerprint records.

All persons with access to Wealthscape are deemed Access Persons and are subject to Compliance with the firms Code of Ethics which requires all outside brokerage accounts to be maintained at one of the firms designated by TIMI.

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 toor calland request Human Resources.