Securities Support Associate

Thrivent•Madison, WI

1d•Onsite

About The Position

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.

Requirements

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

Nice To Haves

Previous administrative/secretarial experience desired

Responsibilities

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 client’s 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