Adv Brokerage Operations Professional

Thrivent•Minneapolis, MN

8d•$25 - $34

About The Position

This position is accountable for answering incoming phone calls and processing new account documents, maintenance requests, distributions, and brokerage account transfers, including ACAT and non-ACAT transfers of assets. The role analyzes and processes non-routine and/or complex new business and service transactions, including not-in-good-order (NIGO) items, and makes outbound calls as required. The position ensures service-related activities are performed quickly, accurately, cost-effectively, and in compliance with internal service and state and federal regulatory standards. It provides support in developing policies and procedures and conducting quality assessments. The role uses job and technical knowledge to serve customers effectively and works collaboratively to accomplish department objectives.

Requirements

High school diploma.
1–2 years of related financial services industry experience.
Strong written and verbal communication skills.
Proficiency with Microsoft Office suite tools, particularly Microsoft Outlook.
FINRA Series 7 and Series 63/65, or Series 66, required or obtained within 90 days of hire.
Additional licensure may be required with manager approval as specific job accountabilities warrant.

Nice To Haves

Bachelor’s degree in a relevant field such as business, finance, or economics.
3–5 years of brokerage industry experience, particularly in account transfers, including ACAT and non-ACAT/TOA processing.

Responsibilities

Answer member and field phone calls and make outbound calls as required.
Process new account documents, maintenance requests, distributions, and ACAT and non-ACAT brokerage account transfers.
Analyze and process non-routine or complex new business and service transactions, including not-in-good-order (NIGO) items.
Work as part of a brokerage operations functional team by assisting team members, managing workflow, providing functional coverage, and collaborating with other service teams.
Maintain a thorough understanding of brokerage operations products, services, affiliated systems, and applicable operational policies and procedures.
Build and maintain professional working relationships with field professionals, the clearing firm, and internal business units.
Analyze and approve transactions and provide high-quality, timely service that supports member and field satisfaction and meets or exceeds established service-level timeframes.
Communicate detailed, accurate, and timely information about account operational status to field professionals and clients.
Help develop policies and procedures and support quality assessments.
Achieve or exceed department quality standards and comply with internal service and state and federal regulatory standards.