Thrivent-posted 6 months ago
$65,765 - $88,976/Yr
Full-time • Entry Level
Remote
Securities, Commodity Contracts, and Other Financial Investments and Related Activities

The Operations Specialist will execute an efficient, effective, and service-first experience to TAN Advisors and clients. This role includes daily operational tasks to support TAN Advisory Teams, working with Advisors and their Operations staff to develop efficient and compliant operations processes for paperwork submission and ongoing service of managed accounts and financial plans. The Operations Specialist will serve as the primary point of contact for TAN Advisory Teams, requiring strong attention to detail, time management skills, and the ability to gather facts, data, and documentation to independently make decisions on compliance and efficacy associated with managed account and financial planning activities. The position demands excellent communication skills, both written and verbal, and a desire to thrive in a fast-paced environment while exhibiting flexibility and innovative thinking.

  • Review new account and financial plan paperwork, as well as custodial account set up at Fidelity and Schwab, to decide if submission is in good order.
  • Follow-up with Advisory Teams to educate and ensure compliance with all requirements prior to acceptance of new business.
  • Administer new account setup and ongoing maintenance of managed accounts in Black Diamond and Orion for multiple Advisory Teams.
  • 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 and procedures.
  • Partner with Sr. Operations Specialist to learn and administer Advisory Services provided by TAN.
  • Administer Home Office, Advisor, Field Staff, and Client access to TAN systems, ensuring compliance with policies and regulations on data privacy.
  • Engage in multiple RIA operations disciplines and support efforts across team functions.
  • Participate in cross-organizational improvement projects that drive efficiencies and scale for both 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.
  • Demonstrate quality customer service through detailed, accurate, and prompt communications to the field and clients.
  • Perform quality control and review, assess inefficiencies, and offer solutions that maximize the scale of operations.
  • Four-year degree or minimum of five years financial services related work experience.
  • Passion for and experience with Registered Investment Advisor operational components.
  • Working knowledge of industry leading third-party portfolio management and customer relationship management 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 and ability.
  • Demonstrated ability to improve processes.
  • Strong Microsoft tools skills - Excel, Word, PowerPoint.
  • FINRA series 7 and 66 strongly preferred.
  • Specific working knowledge of Black Diamond, Orion, Fidelity, and Schwab.
  • Experience with Advisor and client account transitions to a Registered Investment Advisor is preferred.
  • SharePoint knowledge and experience.
  • Various bonuses (including annual or long-term incentives).
  • Medical, dental, and vision insurance.
  • Health savings account.
  • Flexible spending account.
  • 401k.
  • Pension.
  • Life and accidental death and dismemberment insurance.
  • Disability insurance.
  • Supplemental protection insurance.
  • 20 days of Paid Time Off each year.
  • Sick and Safe Time.
  • 10 paid company holidays.
  • Volunteer Time Off.
  • Paid parental leave.
  • EAP.
  • Well-being benefits.
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