Securities Client Service Administrator

Thrivent•Gastonia, NC

3d•$60,000 - $80,000•Onsite

About The Position

The Securities Client Service Administrator provides securities-licensed administrative support to Your Journey Financial Advisors and serves as a resource to financial advisors and client/members. The role handles, researches, and communicates account inquiries and supports daily brokerage operations, including new account processing, account servicing, operational support, advisor and client support, process improvement, use of Thrivent Financial systems and programs, securities-related tasks, and other administrative duties as assigned. The position reports to and is employed by Your Journey Financial Advisors. This is a full-time, in-person position based in either the Gastonia or Hickory office. Compensation is $60,000–$80,000 annually, depending on active licensure and experience. Benefits include health insurance, a 401(k) with matching, paid time off, holiday pay, and annual bonus eligibility. Candidates will undergo background verification as part of the recruiting, hiring, and contracting process. Fingerprints are required for FINRA registration and will be submitted to the FBI for review against nationwide fingerprint records. People with securities registrations are subject to TIMI’s Outside Securities Accounts Policy, which requires outside brokerage accounts to be maintained at a firm designated by TIMI.

Requirements

Hold FINRA Series 7 and 66 licenses, or the Series 7, 63, and 65 combination, and maintain registration in all states where support is provided for Your Journey Financial Advisors.
At least 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.
Ability to manage multiple priorities, meet deadlines, and maintain accuracy and attention to detail.
Strong technical aptitude, including proficiency with business systems, technology platforms, and operational tools.
Excellent written and verbal communication skills and a client-focused approach to service, responsiveness, and problem-solving.

Nice To Haves

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.

Responsibilities

Facilitate brokerage account openings, onboarding, and account transfers, ensuring documentation is complete, accurate, and compliant with firm and regulatory requirements.
Process account-servicing transactions, including beneficiary updates, ownership changes, contact information updates, trust and 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 advisor and client appointments by ensuring account information and required documentation are in order.
Serve as the primary point of contact for operational inquiries and proactively communicate account status, outstanding items, and service updates.
Resolve account and operational issues in partnership with advisors, clients, custodians, and home office teams.
Monitor workflows, maintain accurate records, and support compliance, audit, and documentation requirements.
Deliver advisor and client service and provide backup support to ensure business continuity.
Identify process improvement opportunities, document best practices, support team training, and contribute to initiatives that improve the advisor and client experience.