Sr Brokerage Ops Prof (LIC)
About The Position
The Senior Brokerage Operations Professional (LIC) provides advanced level support to high level producers, our business partners, and internal business units. This role is specifically focused on supporting Experienced Advisor Recruiting by delivering dedicated, end‑to-end operational execution for advisor transitions and repapering activities. This position plays a critical role in ensuring experienced advisors transition to Thrivent efficiently, accurately, and in compliance with regulatory and firm standards. The Senior Brokerage Operations Professional executes high‑volume, detail-oriented work across account repapering, broker-dealer change processing, user access, and transition tracking. The role partners closely with Advisor Transitions, Experienced Advisor Recruiting leadership, and cross-functional teams to coordinate timelines, manage dependencies, and reduce onboarding friction—supporting asset conversion, advisor confidence, and faster time to revenue. Operating with a high degree of autonomy and accountability, this role helps establish a repeatable and scalable operating model that supports long-term growth while managing operational risk.
Requirements
- College degree or High School diploma with equivalent brokerage or advisory operations experience.
- 3+ years of brokerage, advisory, or financial services operations experience.
- FINRA Series 7 required.
- FINRA Series 65 or 66 required.
- Strong written and verbal communication skills with the ability to explain complex operational requirements.
- Proficiency in Microsoft Office 365 and applicable brokerage systems.
Nice To Haves
- Background in advisor transitions and repapering support
- Experience with licensing and user access management preferred
- Financial services product experience, including annuities, life insurance, wealth management, mutual funds, and alternative investments
- Project management experience
Responsibilities
- Execute end-to-end operational support for Experienced Advisor transitions, including account repapering, broker-dealer change processing, and related onboarding activities.
- Maintain working knowledge of brokerage products, services, systems (including National Financial Services (NFS) and Thrivent platforms), and applicable operational policies and controls.
- Manage multiple transition cases simultaneously, tracking milestones, resolving issues, and ensuring timely and accurate completion.
- Provide clear, accurate, and timely communication to experienced advisors, business partners, and internal teams regarding transition status and requirements.
- Partner cross‑functionally with Distribution teams such as Advisor Transitions and Recruiting, Operations, Compliance, and Digital, Data and Technology (DD&T) to coordinate handoffs and minimize onboarding friction.
- Support process improvement efforts and assist team members with processing activities as volumes warrant.
Benefits
- various bonuses (including, for example, 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
- other employee benefits
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
High school or GED
Number of Employees
1,001-5,000 employees
